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The top 10 RCW stories for March

April 1 2026

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FinCEN proposed whistleblower rule

April 1 2026

Proposed ERISA safe harbor related to private funds and plans

March 31 2026

The top 10 RCW stories for March

Compliance Best Practices

Heather Ayers -

3 hours ago

SEC approves pay-to-play exemptions

Pay-to-Play

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March 27 2026

DOL fiduciary duty: A curtain call

Department of Labor

Heather Ayers -

March 27 2026

Comments favor SEC ‘small entity’ proposal

SEC: Rulemaking

Heather Ayers -

March 27 2026

Prescription strength

Regulators

Heather Ayers -

March 26 2026

Rule proposal would ease B-D requirements

SEC: Rulemaking

Heather Ayers -

March 26 2026

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for March

Compliance Best Practices

Heather Ayers -

3 hours ago

Latest Regulatory Actions

RCW Staff -

5 hours ago

Proposed ERISA safe harbor related to private funds and plans

Employee Retirement Income Security Act (ERISA) 1 day ago

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SEC notice on performance-based fees

SEC: Rulemaking 1 day ago

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DOL proposed rule on PFs within ERISA plans

Department of Labor 1 day ago

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On demand: Private funds and the SEC in Trump 2.0

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March 25 2025

INVESTMENT ADVISERS ACT

Investment Advisers Act

RCW Staff -

August 2 2024

SPEECHES

SEC Chairman Atkins addresses FSOC on non-bank designations

SEC Operations March 26 2026

SEC Commissioner Peirce reflects on her time on the Commission, and...

SEC Operations March 26 2026

SEC Chairman Atkins calls new crypto guidance transformative

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Compliance Best Practices

The top 10 RCW stories for March

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3 hours ago

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Current SEC exam request letter sent to an adviser

Examinations: Document Request Letters

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March 27 2026

Senior Worksheet

Seniors

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March 2 2026

WEEKLY BRIEFINGS

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Compliance Calendar

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1 day ago

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LATEST NEWS

The top 10 RCW stories for March

SEC approves pay-to-play exemptions

DOL fiduciary duty: A curtain call

Comments favor SEC ‘small entity’ proposal

Prescription strength

Rule proposal would ease B-D requirements

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for March

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

Proposed ERISA safe harbor related to private funds and plans

SEC notice on performance-based fees

DOL proposed rule on PFs within ERISA plans

WEBINARS

On demand: Navigating the world of AI and financial services

VIDEOS

On demand: Private funds and the SEC in Trump 2.0

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Chairman Atkins addresses FSOC on non-bank designations

SEC Commissioner Peirce reflects on her time on the Commission, and...

SEC Chairman Atkins calls new crypto guidance transformative

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

The top 10 RCW stories for March

LATEST TOOLS

Current SEC exam request letter sent to an adviser

Senior Worksheet

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

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