SEC Proposes Rescinding the Pay-to-Play Rule
The SEC has proposed rescinding the pay-to-play rule. Here is what advisers need to know before anything changes.
Regulatory Update
Beyond Wealth: A New Path to Accredited Investor Status
Financial knowledge, not just wealth, could open the door to accredited investor status. Here’s what the SEC is considering.
SEC Proposes Regulation E-Delivery
The SEC’s proposed Regulation E-Delivery would make electronic delivery the default. Here’s what RIAs need to know now.
SEC Increases Performance Fee Thresholds
The SEC has raised the financial thresholds used to determine whether a client qualifies for performance-based advisory fees under Rule 205-3.
NASAA Approves Marketing Rule Amendments
On May 4, 2026, NASAA approved amendments to several model advertising rules intended to align them more closely with the SEC Marketing Rule.
SEC and CFTC Propose Form PF Amendments
The SEC and CFTC jointly proposed amendments to Form PF designed to reduce reporting burdens on private fund advisers.
SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
The SEC has issued a formal interpretation aimed at establishing a clear framework for how federal securities laws apply to crypto assets.
DOL Fiduciary Rule Vacated: The Five-Part Test Is Restored
After years of legal battles, the Department of Labor’s 2024 Retirement Security Rule is officially dead.
Marketing Examination Risk Alert – December 2025
The SEC continues to focus heavily on marketing during examinations, with renewed attention on testimonials, endorsements, and third party ratings Recent exam findings show that…
Are You Prepared for the 2025 SEC Exam Priorities?
SEC Releases 2025 Examination Priorities The Securities and Exchange Commission (SEC) released its examination priorities for the 2025 fiscal year on Monday morning, highlighting some…
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