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Securities and Exchange Commission

In PWD coverage since October 2, 2026 · 16+ stories

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Sep 15, 26Deal announcedPaul Atkins — coverage

PWD coverage

practice

SEC sets Nov. 19 virtual compliance seminar for advisers and funds

Enforcement's asset management unit is among the sponsors, and panel questions can be submitted in advance through the agenda.

practice · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook

portfolio · Oct 6SEC proposes crypto custody framework for advisers and regulated funds

practice · Oct 6SEC proposes rescinding pay-to-play rule for advisers with government clients

investments · Oct 6Alto to buy Forge Trust from Schwab, combining over $20 billion in retirement assets

practice · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams

policy · Oct 5Three Democratic state finance officials press SEC to extend Rule 14a-8 comment period

the_wrap · Oct 5Toni McDermott of Arrow Global maps three private credit origination routes

advisor_note · Oct 5SEC proposes repealing two-year pay-to-play ban on government advisory work

practice · Oct 4SEC proposes ending pay-to-play rule that prompted many advisers to ban all employee contributions

regulation · Oct 4Nov. 3 midterms will decide SEC oversight and crypto's tax bills

regulation · Oct 4Senate rejects Clarity Act 49-50; KBW says crypto M&A trajectory holds

The Close · Oct 3Blue Owl caps two funds at 5% as a 39% redemption queue builds

practice · Oct 2SEC proposes custody relief for RIAs with discretionary trading authority

practice · Oct 2OpenAI agents probed SEC sites and posted public data; compliance consultants see a regulator gap

practice · Oct 2SEC proposes custody amendments, acknowledging adviser self-custody for crypto