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Are you ready for the new Reg S-P?
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
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SEC proposal could reframe how regulatory burden is evaluated for most RIAs
If adopted, the SEC estimates that roughly three-quarters of advisers, including many SEC-registered ones, would fall within the revised definition.
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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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Latest Reg BI fine from FINRA shows why boilerplate policies no longer work
FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
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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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SEC action highlights compliance risks in fee and expense practices
After reviewing the case, Janaya Moscony offers compliance tips on disclosures and robust fee practices.
