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Regulation S-P in practice for transfer agents
The Division of Examinations outlined the rule’s historical foundations, the practical approach exam teams will take, and the heightened expectations around vendor oversight and recordkeeping.
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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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The longest pause – how the SEC shutdown is testing compliance resilience
Compliance structures built over decades are coming under pressure as the federal shutdown enters its second month.
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NSCP Annual: SEC sets out its next act
The agency is entering an era of “simpler rules but stricter focus,” a panelist told the audience at this year’s NSCP annual meeting.
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SEC Exams in 2025: A practical playbook for private fund advisers
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.