Category Archives: Compliance
SEC Compliance Outreach Offers Guidance for Smaller Firms
By: E.J Yerzak If you missed the SEC’s January Compliance Outreach on Regulation S-P, now is the [...]
FINRA Increases Gift Limit
By: Matt Calabro In a significant and long-awaited update, on February 27, 2026, FINRA adopted amendments to Rule 3220 [...]
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]
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 [...]