Month: November 2025

SEC Announces 2026 Examination Priorities

By Robert R. Boeche II — posted in Securities Regulation & Compliance on Friday, November 28, 2025.

On November 17, 2025, the SEC Division of Examinations (the “Division”) issued its annual Examination Priorities (“Exam Priorities”) for fiscal…

Don’t Forget: Continuing Education for IARS

By Robert R. Boeche II — posted in Investment Advisers & Private Funds, Securities Regulation & Compliance on Monday, November 24, 2025.

Investment Advisers

The deadline for California-registered investment adviser representatives (“IARs”) to complete their required Investment Adviser Representative Continuing Education (“IAR CE”) hours…