If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will scrutinize when assessing whether firms are acting in clients’ best interests, keeping...more
1/20/2026
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Compliance ,
Cybersecurity ,
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Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) granted a no-action relief on March 12 in response to an inquiry by U.S. law firm Latham & Watkins LLP. This SEC No-Action Letter is expected to increase the adoption of Rule...more