Category Archives: Compliance
New SEC Marketing Rule FAQs: What Advisers Need to Know
SEC Staff Issues Guidance on Model Fees and SRO Disqualifications Under Rule 206(4)-1 On January [...]
California Reporting for Venture Capital Firms
Private fund managers and their underlying funds that invest in the venture capital space may be [...]
SEC Clarifies Tokenized Securities
By: Gena Dirani On January 28, 2026, staff from the SEC’s Divisions of Corporation Finance, [...]
SEC Appoints Keith Cassidy as Director of Division of Examinations
On January 20, the SEC appointed Keith E. Cassidy as Director of its Division of Examinations (EXAMS). Cassidy had served [...]
SEC’s Daly to Investment Industry: Come Talk to Us About AI
On February 3, SEC Division of Investment Management Director Brian Daly delivered a notable speech [...]
SEC EXAMS Issues Marketing Rule Risk Alert
On December 16, the SEC’s Division of Examinations (EXAMS) issued a Risk Alert on the Marketing Rule. EXAMS previously published [...]
Enhancing Audit Quality: Key Takeaways from the SEC’s Chief Accountant on PCAOB Oversight
Kurt Hohl, the SEC’s Chief Accountant, shared insights on current SEC and Public Company Accounting Oversight Board [...]
License to Advise Part 2: Investment Adviser Representative Registration Oversight
By: Ariana Monchick In our November newsletter, we highlighted some important considerations and deadlines for Investment [...]
November Regulatory Roundup: DOGE Exits the SEC, NFA Revises Digital Asset Disclosure Rules
DOGE Departs the SEC On October 30, Reuters reported that the U.S. Department of Government [...]
NSCP Annual Conference: Key Takeaways from Former Regulators
By: Jackie Hallihan This year’s NSCP National Conference opened with an unfiltered conversation featuring former [...]