HeyJaredMittal Patel
- Indexed articles, last 90 days
- 3
- Latest publication
- Oct 1, 2026
- Outlet visibility, for natlawreview.com
- Top 1M sites
- Earliest in this view
- Jul 29, 2026
Latest articles
SEC’s Observations Regarding Investment Adviser Annual Compliance Reviews (opens the original)
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On September 14, 2026, the U.S. Securities and Exchange Commission (the “Commission”) issued a Risk Alert highlighting observations from its examinations of SEC-registered investment advisers regarding annual compliance reviews. The Compliance Rule requires SEC-registered investment advisers to adopt and implement written compliance policies and procedures and to review those policies and procedures annually to assess their adequacy and effectiveness. The Commission routinely requests detailed i
SEC Proposes End to Pay-to-Play Rule — But Compliance is Not Over (opens the original)
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On September 3, 2026, the U.S. Securities and Exchange SEC (the “SEC”) proposed to rescind the Political Contribution Rule, commonly known as the “Pay-to-Play Rule.” The SEC also proposed amendments to the Recordkeeping Rule to eliminate the related political contribution recordkeeping requirements. Advisers should not interpret the proposal as signaling the end of pay-to-play compliance requirements. Other requirements under the Advisers Act and applicable federal and state laws may continue to
A Digital Turn: The SEC Proposes Regulation E-Delivery (opens the original)
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On July 16, 2026, the Securities and Exchange Commission (“SEC”) proposed Regulation E-Delivery (the “Proposal”), which would allow investment advisers to meet certain delivery obligations under federal securities laws through electronic means without first obtaining the recipient’s affirmative consent. Currently, required regulatory information is delivered in paper form unless the recipient affirmatively elects electronic delivery. The Proposal would replace the SEC’s long-standing guidance wi
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