With this 2026 rulemaking agenda, the SEC teases its ideas around modifying some of its bedrock rules, particularly to accommodate the digital asset sector.
IAA 1940 Rule 204-2
Lessons from the SEC’s first Marketing Rule case.
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
Practical tips to help you stay steady in the storm.
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
Enforcement
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.