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Adviser pleads guilty in $160m fraud as SEC brings parallel enforcement action
The SEC continues to bring parallel civil actions alongside criminal cases, increasing both financial and personal liability risk for advisers.
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SEC Speaks 2026: Focus on materiality and investor harm
The agency signaled that it intends to rely less on enforcement to define policy and more on clear, workable rules to reduce regulatory complexity and improve coordination across regulators.
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SEC enforcement highlights valuation risks in affiliated loan transactions
After reviewing a recent case, Janaya Moscony offers lessons learned and explains why this matters for advisers.
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Are you ready for the new Reg S-P?
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
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SEC proposal could reframe how regulatory burden is evaluated for most RIAs
If adopted, the SEC estimates that roughly three-quarters of advisers, including many SEC-registered ones, would fall within the revised definition.
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OPINION: SEC3 year-end takeaways
Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.
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SEC 2026 exam priorities – what advisers & broker-dealers must know
The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.
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Latest Reg BI fine from FINRA shows why boilerplate policies no longer work
FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
