10-28-26
FINRA’s new Rule 3290 narrows outside activity reporting, but supervisory, Form U4, and Reg BI obligations remain. Bates Group helps broker-dealers and RIAs map each outside activity question to its regulatory purpose before October 25, 2027.
10-26-26
The SEC’s FY 2027 exam priorities focus on economic conflicts, complex and illiquid products, private credit, super intelligence, Regulation S-P, and AML. What investment adviser and broker-dealers should review before their next exam.
10-02-26
The SEC's new Exam Handbook puts examiner expectations in writing: 24-hour record readiness, no AI notetakers in meetings, and leadership at the exit conference. See how RIAs and broker-dealers can prepare before the exam notice arrives.
09-23-26
The SEC Division of Examinations published a Risk Alert on September 14, 2026, describing what examiners find when they test adviser compliance with the annual review requirement. Staff observations cover five areas, including advisers who treated compliance training and personnel attestations as satisfying the review. Bates Group summarizes the findings.
08-13-26
FinCEN permanently ends CTA beneficial ownership reporting for U.S. entities while CDD obligations remain for covered financial institutions.
07-15-26
The OCC proposes an AML/CFT supervision framework for the stablecoin issuers it supervises under the GENIUS Act, enhancing BSA and sanctions compliance oversight.
06-18-26
The SEC Examinations Staff issued a Risk Alert on June 9, 2026 on investment adviser obligations related to economic conflicts of interest, covering undisclosed revenue arrangements, fee billing deviations, Form ADV gaps, and compliance program deficiencies.
06-03-26
Regulation S-P compliance deadline arrives as SEC examiners focus on cybersecurity controls, incident response, vendor oversight, and data protection.
05-18-26
FINRA Forward introduces new exam scheduling and early findings options to help broker-dealers improve compliance efficiency.
04-21-26
SEC and CFTC propose Form PF amendments to ease reporting burdens, raise thresholds, and streamline compliance for private fund advisers.
02-12-26
FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags and inadequate controls.
01-12-26
FinCEN delays the Investment Adviser AML Rule to 2028, while the SEC proposes updates to “small entity” definitions affecting future rulemaking.
12-22-25
The SEC’s Division of Examinations spotlights common Marketing Rule deficiencies tied to testimonials, endorsements, and third-party ratings. Here’s what advisers should review now.
11-21-25
The SEC Division of Examinations has released its 2026 Examination Priorities with a renewed focus on fiduciary standards, complex and illiquid products, cybersecurity and AI, AML and sanctions. Learn what these priorities mean for IAs, B-Ds, funds and other registrants.
10-09-25
The SEC has announced how its divisions are operating during the ongoing government shutdown. Examinations, registrations, and other non-emergency work have been deferred, while emergency response functions remain available.
07-21-25
FinCEN has delayed the effective date for the IA AML Rule to Jan 2028 and signals plans to revisit the rule through a new rulemaking process.