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Regulation S-P: Examiner insights ahead of compliance date

May 22 2026

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Part 2 of a series: Examiners digging into structured notes

May 22 2026

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Don’t be surprised by AI usage

May 22 2026

Regulation S-P: Examiner insights ahead of compliance date

Reg S-P

Heather Ayers -

6 hours ago

Part 2 of a series: Examiners digging into structured notes

SEC Examinations

Heather Ayers -

6 hours ago

California settles first PE-in-healthcare suit

Private Equity

Heather Ayers -

22 hours ago

Private credit’s early lessons

Private Equity

Heather Ayers -

22 hours ago

New Enforcement director outlines priorities

Examinations Enforcement: Settlement

Hugh Kennedy -

1 day ago

SEC rescinds 54-year-old ‘gag rule’ policy

Examinations Enforcement: Settlement

Hugh Kennedy -

1 day ago

BEST PRACTICES SPOTLIGHT

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The top 10 RCW stories for April

Compliance Best Practices

Heather Ayers -

May 1 2026

Latest Regulatory Actions

RCW Staff -

22 hours ago

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SEC and NFA Memo of Understanding pledging coordination and info sharing

Regulators 22 hours ago

SEC Final Rule: Rescission of Policy Regarding Denials in Settlements of...

SEC: Rulemaking 23 hours ago

Woman working at the airport in the check-in counter

SEC no-action letter: No Form CRS for Trump accounts

No-Action Letters May 6 2026

WEBINARS

Compliance Tips to Satisfy Revised Reg S-P

olgam -

May 11 2026

VIDEOS

CLE Webinars

On demand: Private funds and the SEC in Trump 2.0

Barbara Jones -

March 25 2025

INVESTMENT ADVISERS ACT

Investment Advisers Act

RCW Staff -

August 2 2024

SPEECHES

SEC Chairman Atkins makes a short statement on ‘novel’ ETFs

SEC Operations 1 day ago

SEC Commissioner Peirce endorses the end of the so-called ‘gag’ rule

SEC Operations May 20 2026

SEC Enforcement chief lays out his vision for carrying out his...

SEC: Enforcement May 14 2026

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RESOURCES

Click on RCW Hot Topic Links

RCW Staff -

May 1 2026

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

RCW Staff -

May 1 2026

Shortcuts to the Hottest IA Topics

RCW Staff -

May 1 2026

COMPLIANCE TOOLBOX

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Examinations: Document Request Letters

DOE exam letter sent to adviser probes structured notes

Heather Ayers -

8 hours ago

This exam focuses on so-called structured notes, or what’s been described as 'hybrid debt securities' often tied to a derivative as a means to hedge risks

LATEST TOOLS

DOE exam letter sent to adviser probes structured notes

Examinations: Document Request Letters

Heather Ayers -

8 hours ago

Large DOE exam letter probes adviser on valuation

Examinations: Document Request Letters

Heather Ayers -

May 15 2026

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

Heather Ayers -

April 1 2026

Nearly there!

LATEST NEWS

Regulation S-P: Examiner insights ahead of compliance date

Part 2 of a series: Examiners digging into structured notes

California settles first PE-in-healthcare suit

Private credit’s early lessons

New Enforcement director outlines priorities

SEC rescinds 54-year-old ‘gag rule’ policy

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for April

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

SEC and NFA Memo of Understanding pledging coordination and info sharing

SEC Final Rule: Rescission of Policy Regarding Denials in Settlements of...

SEC no-action letter: No Form CRS for Trump accounts

WEBINARS

Compliance Tips to Satisfy Revised Reg S-P

VIDEOS

On demand: Private funds and the SEC in Trump 2.0

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Chairman Atkins makes a short statement on ‘novel’ ETFs

SEC Commissioner Peirce endorses the end of the so-called ‘gag’ rule

SEC Enforcement chief lays out his vision for carrying out his...

DOWNLOAD LATEST WEEKLY BRIEFING

RESOURCES

Click on RCW Hot Topic Links

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

Shortcuts to the Hottest IA Topics

COMPLIANCE TOOLBOX

DOE exam letter sent to adviser probes structured notes

LATEST TOOLS

DOE exam letter sent to adviser probes structured notes

Large DOE exam letter probes adviser on valuation

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

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Nearly there!

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BEST PRACTICES SPOTLIGHT

RESOURCES

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