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SEC Enforcement Priorities and New Initiatives | David Woodcock Remarks
SEC Releases Introduction On September 18, 2026, SEC Division of Enforcement Director, David Woodcock, delivered remarks outlining the Division’s enforcement priorities and recent initiatives. The […]
Read MorePrivate Fund Valuation and Reporting Failures Draw SEC Action
SEC Releases Introduction On October 9, 2026, the SEC announced a settled enforcement action against a New York-based Investment Adviser that managed four investment funds […]
Read MoreSEC Enforcement Highlights Undisclosed Conflicts of Interest in Adviser Referral Practices
SEC Releases Introduction On September 28, 2026, the SEC announced settled charges against an RIA that operated a service matching individuals with Third-Party Investment Advisers. The […]
Read MoreSEC Proposes Amendments to Expand Retail Access to Private Markets
SEC Releases Introduction On September 30, 2026, the SEC proposed Amendments intended to expand retail investor access to Private Market Investments and modernize Regulated Fund […]
Read MoreSEC Publishes New Examination Handbook
SEC Releases Introduction On October 1, 2026, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) published a new SEC Exam Handbook. The Handbook […]
Read MoreSEC Risk Alert | Annual Compliance Review Observations
SEC Releases Introduction On September 14, 2026, the SEC Division of Examinations issued a Risk Alert highlighting observations from recent examinations regarding Investment Advisers’ annual […]
Read MoreForm 13F Filing Failures | $500k Penalty
SEC Releases Introduction The SEC recently announced settled charges for $500,000 against a Dually Registered Investment Adviser and Broker Dealer for failing to file required […]
Read More“Pay-to-Play” Rule | SEC Proposes Rescission
SEC Releases Introduction On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5 under the Investment Advisers Act of 1940, commonly known as the “Pay-to-Play […]
Read MoreSEC Enforcement: Pre-IPO Fund Practices Under Scrutiny
SEC Releases Introduction On August 10, 2026, the SEC charged a New York Investment Adviser that managed Private Funds investing in Pre-IPO Companies (such as […]
Read More$489k SEC Enforcement Action | Advisory Fee Practices Lessons
SEC Releases Introduction The SEC recently announced a settled enforcement action against a $357 Million AUM RIA (Wealth Manager with a separately registered Broker/Dealer) for […]
Read More$400k 18f-4 Fine for ETF Compliance Failures
SEC Releases Introduction The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment Company Act of 1940, including […]
Read MoreUndisclosed Conflicts Lead to $125k SEC Enforcement
SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment adviser representative for failing to […]
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