Tag: investment_advisers

• SEC to Host Virtual National Compliance Outreach Seminar on Nov. 19

  6 Oct 2026 2:10 p.m.

  The 2026 Compliance Outreach Program National Seminar, aimed at chief compliance officers of investment companies and investment advisers, will run from 8:30 A.M. ET.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBankingEducation Securities and Exchange CommissionCompliance Outreach ProgramInvestment AdvisersInvestment CompaniesInvestor ProtectionVirtual Seminarchief compliance officersWashington, DC

• SEC's Peirce Calls Custody Rule Proposal a "Roller Coaster Ride"

  1 Oct 2026 4:11 p.m.

  SEC Commissioner Hester M. Peirce has issued a statement on proposed adviser and regulated fund custody rules, including crypto custody rules, titled "Roller Coaster Ride."

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionHester M. PeirceCustody RulesCrypto CustodyRegulated FundsInvestment AdvisersSpeeches and Statements

• SEC Proposes Framework for Crypto Asset Custody by Advisers and Funds

  1 Oct 2026 4:01 p.m.

  The SEC has proposed new rules and amendments creating a tailored framework for how registered investment advisers and regulated funds may custody crypto assets under federal securities laws.

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal GovernmentEconomy Securities and Exchange Commissioncrypto assetsinvestment advisersregulated fundscustodyfederal securities lawsbusiness development companies

• SEC Proposes Rescission of Investment Adviser "Pay-to-Play" Rule

  3 Sep 2026 4:41 p.m.

  The SEC has proposed rescinding its "pay-to-play" rule, which currently prohibits investment advisers from offering compensated services to government clients for two years after making political contributions. This move could reshape adviser-government interactions.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionInvestment AdvisersPay-to-Play RulePolitical ContributionsGovernment ClientsFinancial Regulation

• Regulators Push Back Form PF Compliance to July 2027

  31 Aug 2026 3:42 p.m.

  The CFTC and SEC have jointly extended the compliance deadline for Form PF amendments from October 2026 to July 2027. This provides more time for investment advisers to private funds, including CPOs and CTAs, to meet new reporting requirements.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy CFTCSECForm PFComplianceInvestment AdvisersPrivate FundsFinancial Regulation

• SEC Charges 38 Entities Over False Filings to Lure Investors

  27 Aug 2026 6:12 p.m.

  The SEC has charged 38 entities for allegedly making false filings in Forms ADV between 2025 and 2026. These firms are accused of misrepresenting themselves as legitimate U.S. advisory firms to attract retail investors.

  BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal SECInvestment AdvisersFalse FilingsRetail InvestorsFraudForms ADVSecurities Regulation

• SEC Proposes New E-Delivery Rule for Enhanced Investor Access

  16 Jul 2026 9:02 a.m.

  The SEC has proposed Regulation E-Delivery to expand electronic information delivery for issuers, broker-dealers, and investment advisers. This new rule aims to make financial information more accessible and useful for investors, modernizing communication in the financial sector.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegal SECRegulation E-DeliveryElectronic DeliveryInvestorsFinancial InformationBroker-dealersInvestment Advisers

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