SEC Reg S-ID
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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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M Holdings to pay $325K for cybersecurity lapses that compromised email accounts
The SEC said the firm did not maintain comprehensive information security policies despite being aware of significant gaps in protection.
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SEC details 2026 compliance and oversight priorities
The 2026 priorities carry forward many of the themes from 2025, but the tone has shifted from early groundwork to more stringent expectations.
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SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
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Ceros Financial fined for lacking supervision over personal email for business use
FINRA ruling notable due to inclusion of Identity Theft Red Flags Rule.
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FINRA disciplinary action update 2024/6
Disciplinary decisions issued February 10 – 16, 2024.
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SEC’s Grewal on cyber resilience and his division’s approach
Gurbir Grewal set out the Division of Enforcement’s five guiding principles.