Julie DiMauro38 min listen
Jean Hurley2 min read
Jean Hurley39 min listen

If adopted, the SEC estimates that roughly three-quarters of advisers, including many SEC-registered ones, would fall within the revised definition.
Janaya Moscony | SEC32 min read

Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.
Janaya Moscony | SEC32 min read

The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.
Janaya Moscony | SEC32 min read

FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
Janaya Moscony | SEC32 min read

Lessons from the SEC’s first Marketing Rule case.
Janaya Moscony | SEC32 min read

Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
Janaya Moscony | SEC32 min read

After reviewing the case, Janaya Moscony offers compliance tips on disclosures and robust fee practices.
Janaya Moscony | SEC31 min read

A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
Janaya Moscony | SEC31 min read