Live monitoring — SEC

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Investment advisers and RIAs can't afford to miss an SEC rule change. RegAxis catches Final Rules, Risk Alerts, OCIE priorities, and no-action letters the moment they drop — and tells you exactly what it means for your firm.

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Recent SEC actions

Date Update Impact
Aug 8, 2026 SEC Announces Continuation of Small Business Advisory Committee Meeting
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Aug 8, 2026 SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
Affects: Regulated entities — High impact for regulated entities.
 LOW
Jul 30, 2026 SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC Seeks Public Comment on Novel Exchange-Traded Funds
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC Names Paul Knight as Chief Operating Officer
Affects: Regulated entities — Moderate impact for regulated entities.
 LOW
Jul 30, 2026 SEC Forms New Retail Fraud Working Group
Affects: Regulated entities — High impact for regulated entities.
 LOW
Browse all SEC updates →
Coverage

What RegAxis monitors from SEC

Final Rules (effective amendments to Advisers Act, Exchange Act)
Proposed Rules (open comment periods)
Risk Alerts from OCIE / Division of Examinations
Investment Adviser examination priorities
Enforcement Actions affecting RIAs
No-Action Letters relevant to advisers
Form ADV interpretive guidance
Common gaps

Most-missed SEC compliance items

Form ADV Amendments
Material changes to your business — new services, disciplinary history, conflicts — trigger a Form ADV amendment within 30 days. Most firms miss the trigger.
Marketing Rule (206(4)-1)
Testimonials, endorsements, and performance advertising now require specific disclosures. The SEC has flagged non-compliant materials in nearly every sweep exam since the 2021 rule.
Custody Rule Updates
Constructive custody — taking standing letters of authorization, certain custodial arrangements — triggers annual surprise examinations most advisers don't know they qualify for.
Exam Sweep Priorities
OCIE publishes annual exam priorities in January. Firms that align their compliance calendars to these priorities dramatically reduce deficiency letters.
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Marketing Rule Readiness Scorecard
Rule 206(4)-1 is the SEC's top RIA exam priority in 2024–2025. Score your firm's exposure across testimonials, hypothetical performance, ratings, and recordkeeping.
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