News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

SEC
28 Aug, 2025
Jeremy McCamic

SEC Regional Office Closures Called Off: What Remains Unclear

On August 25, 2025, the Fifth U.S. Circuit Court of Appeals remanded two rules adopted during the Biden administration, giving hedge fund associations a partial victory. The rules were not vacated. However, the Securities and Exchange Commission (“SEC”) must now review them in light of the court’s opinion.

SEC
26 Aug, 2025
Jeremy McCamic

Fifth Circuit Ruling Sends Short-Selling Disclosure Rules Back to the SEC

CCO Charged for Backdating Annual Reviews, and Other Violations of the Advisers Act

On July 11, 2025, the SEC announced settled charges against a registered investment adviser (“RIA”), its CCO, and its president for creating backdated documents and producing them during an SEC examination; failing to adequately disclose conflicts of interest; and overbilling client accounts.

Trump Signs Executive Order Allowing 401(k) Investments in Alternative Assets

On August 7, 2025, President Trump signed an Executive Order seeking to allow 401(k) retirement plans to invest in alternative assets such as private equity, real estate, and cryptocurrencies.

Artificial Intelligence
04 Aug, 2025

The SEC Announces Artificial Intelligence Task Force for Agency Innovation and Efficiency

On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) announced its intention to postpone the effective date of the AML/CFT Rule from January 1, 2026, until January 1, 2028.

CyberSecurity
31 Jul, 2025

SEC Approves In-Kind Creations and Redemptions for Crypto ETPs

Anti-Money Laundering (AML)
22 Jul, 2025

AML/CFT Compliance Deadline Postponed by FinCEN

CCO Charged for Altering Records Provided in SEC Examination

On July 15, 2025, the SEC announced settled charges against a CCO of a registered investment adviser for altering records and producing fictitious records in response to SEC examination requests for information.

CyberSecurity
16 Jul, 2025

Law Firm Suffers Data Breach; Exposes Sensitive Client Data

A law firm with asset manager clients, recently notified authorities in several states that sensitive data of more than 360 individuals was exposed in a recent data breach.

CyberSecurity
30 Jun, 2025

Phishing Warning: Fake SEC Emails Sent to Multiple RIAs

Multiple reports indicate an active phishing operation targeting Registered Investment Advisers with fraudulent emails impersonating official SEC communications.