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Compliance Insights & Regulatory Resources

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Featured Article

Conflicts Do Not Manage Themselves:
A Practical Reminder for
Investment Advisers

Key takeaways from the SEC’s June 9, 2026 Risk Alert on economic conflicts of interest and how advisers can align disclosures, billing, and controls.

Assess Your Investment Adviser Conflict Risk
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Private Funds & Third-Party Service Providers:
Strengthening Oversight

SEC Marketing Rule in 2026:
What Registered Investment Advisers Need to Know

State Adviser Exams:
What NASAA’s 2025 Report
Is Telling Firms

Why private fund advisers need stronger oversight of third-party service providers to manage vendor risk and protect investor assets.

How RIAs can tighten SEC Marketing Rule compliance in 2026 with smarter ad reviews, performance controls, and testimonial oversight.

What NASAA’s 2025 exam findings reveal about common state-registered RIA deficiencies and exam-ready documentation.

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SEC Examination Priorities

2026 Division of Examinations Priorities Report

2025 Division of Examinations Priorities Report

2024 Division of Examinations Priorities Report

2023 Division of Examinations Priorities Report

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Risk Alert: Additional Observations Regarding Advisers' Compliance with the Advisers Act Marketing Rule

Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance

Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents

Risk Alert: Safeguarding Customer Records and Information at Branch Offices

Risk Alert: Observations from Examinations of Private Funds

SEC Risk Alerts

Other Key Regulatory Resources

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