IAA 1940
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SEC raises qualified client thresholds for performance fees effective June 2026
SEC3 is monitoring the SEC’s recent inflation adjustment to the “qualified client” thresholds under Advisers Act Rule 205-3, which affects advisers that charge performance-based fees.
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NASAA revises model advertising rules for state-registered investment advisers
Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.
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Recent fraud cases reflect a more selective SEC approach
Two cases demonstrate a focus on clear antifraud violations supported by strong data trails and involving conduct with direct investor harm.
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SEC Staff publishes additional Names Rule FAQs
This article provides a brief historical background of the Names Rule and a summary of the current obligations of registered funds.
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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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Tokenization and SEC oversight: Six essential updates for RIAs in 2026
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
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California’s new Venture Capital Diversity Reporting Law: What VC firms must know now
The March 1 and April 1, 2026, deadlines mark the beginning of a recurring compliance program and not a one-off fill.
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.