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SEC’s Regulation S-P outreach puts small firms on notice
Through its dedicated outreach program the SEC offered small firms the clearest indication yet on how compliance with the 2024 Regulation S-P amendments will be examined.
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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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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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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.