June 18, 2026
The takeaway in 30 seconds: On June 11, 2026, the SEC proposed rescinding Rule 611 (the Trade-Through Rule) and Rule 610(e) of Regulation NMS, two provisions that have played a central role […]
Blogs
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
June 8, 2026
The takeaway in 30 seconds: The current SEC has pulled back from pursuing recordkeeping failures as standalone enforcement cases, but that is a change in enforcement focus, not a relaxation of the […]
June 3, 2026
The SEC’s May 29 proposal to rescind the 2024 climate disclosure rules will generate a lot of commentary about what it means for corporate America. Most of it won’t be directly useful […]
May 19, 2026
By now most RIAs under $1.5 billion in AUM know the June 3 date exists. Fewer have spent time thinking carefully about what “compliant” actually means when an examiner walks in and […]
May 14, 2026
The promotion makes sense on paper. The ops manager who built the firm’s compliance program from scratch, who knows where every policy lives and why every procedure exists, and who has been […]
May 11, 2026
Here’s the assumption worth examining before the conversation with a small business client goes too far: a Pooled Employer Plan is not a retirement plan product. It is a liability structure. And […]
April 27, 2026
Form PF has been a compliance burden for private fund advisers since its introduction following the Dodd-Frank Act, and that burden grew significantly with the amendments adopted in 2023 and 2024 under […]
April 13, 2026
Every year the SEC publishes its enforcement results and every year most RIAs skim the headline numbers and move on. This year that’s a mistake. The FY2025 report, released April 7, 2026, […]
April 1, 2026
There’s a version of this you’ve probably seen at least once: a client firm you’ve been working with for two years decides to get serious about marketing. They hire a content person, […]
