Research
Research library
Research worth an advisor's time from research firms, asset managers, regulators, central banks, academics and think tanks, each with a short summary in our own words, plus AdvisorIQ's own analysis.
As of Oct 8, 2026, the library lists 7 pieces from regulators on regulation and ethics.
Titles marked with an arrow open on the publisher's site. How we choose.
Regulation and ethics
-
Examinations Observations Regarding Investment Adviser Annual Compliance Review (opens sec.gov)
SEC examiners list recurring failures in the annual review of compliance policies every registered adviser must perform. They cite skipped or late reviews, review periods longer than 12 months, training or attestations used in place of a real review, thin documentation and problems left unresolved.
Topic: Regulation and ethicssec.gov
-
Examinations Observations of Investment Adviser Obligations Related to Economic Conflicts of Interest (opens sec.gov)
SEC examiners detail conflicts tied to advisers' own compensation that were left undisclosed or described misleadingly. Problem areas include cash sweep revenue, costlier share classes when cheaper ones were available, margin and clearing markups, Form ADV language saying a firm may earn revenue it actually earns, and billing that did not match agreements.
Topic: Regulation and ethicssec.gov
-
Additional Observations Regarding Advisers' Compliance with the Advisers Act Marketing Rule (opens sec.gov)
SEC examiners describe where advisers fall short when using testimonials, endorsements and third-party ratings in marketing. The most common failure was missing the required disclosures when a testimonial was shared, and staff also found undisclosed promoter pay and conflicts, including with influencers, referral networks and paid reviews.
Topic: Regulation and ethicssec.gov
-
Don't Let Scammers Steal Your Holiday Spirit: NASAA Unveils the 12 Top Investor Threats (opens nasaa.org)
State regulators' list of the scams most likely to reach investors, built from enforcement data and a member survey. It highlights AI-driven fraud such as deepfakes and fake trading bots, social media lures, crypto schemes, account takeovers, unregistered sellers and the continued targeting of older investors.
Topic: Regulation and ethicsnasaa.org
-
2026 FINRA Annual Regulatory Oversight Report (opens finra.org)
FINRA's yearly guide to what its exams and surveillance are finding at broker-dealers, with effective practices for each area. The 2026 edition adds a section on generative AI and covers cyber-enabled fraud, small-cap manipulation, third-party vendor risk, crypto, Regulation Best Interest and Form CRS.
Topic: Regulation and ethicsfinra.org
-
SEC Division of Examinations Announces 2026 Priorities (opens sec.gov)
The SEC exam division's plan for fiscal 2026, linked from this release. For advisers, examiners will focus on fiduciary duty to retail clients, with extra attention to alternative, complex and higher-cost investments, advice to older investors and retirement savers, dual registrants, recently merged firms and the amended Regulation S-P.
Topic: Regulation and ethicssec.gov
-
NASAA Releases 2025 Enforcement Report (opens nasaa.org)
State securities regulators' annual tally of enforcement for 2024, with a link to the full report. They ran 8,833 active investigations and brought 1,183 enforcement actions with more than $259 million in fines and restitution, with digital asset, social media and impersonation schemes among the leading threats.
Topic: Regulation and ethicsnasaa.org
Editorial
How we choose
- Inclusion is editorial. No publisher pays to be listed, and none can.
- We leave out any piece that features or recommends a specific fund, ETF, model portfolio or other product.
- Summaries are AdvisorIQ's own words. We link to the original on the publisher's site rather than copy it.
- We do not list pieces behind a paywall or a registration form, or pieces from media outlets and advisor platforms; we link to the original source instead.
More in our editorial standards.