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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 charges six purported advisers over false Form ADV filings, books-and-records issues
The SEC said the entities claimed specific office locations, assets under management, and private funds that could not be verified.
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC releases 2024 exam priorities early with focus on emerging risks
Regulator aims to provide earlier insight by aligning publication with the start of its fiscal year.