# Regulation and ethics: webinars, replays, research and CE webinars for advisors

As of Oct 8, 2026, AdvisorIQ lists 9 research pieces on regulation and ethics.

As of: 2026-10-08
Address: https://advisoriq.com/topics/regulation-and-ethics/

## Facts

- topic: Regulation and ethics
- intro: Independent advisors answer to regulators, designation bodies and their own fiduciary or best-interest obligations, and the rules keep changing. Keeping up with filing deadlines, conduct standards and ethics requirements is part of staying in business. This page collects webinars, replays, CE webinars from around the industry and research on regulation and ethics, with the next compliance deadlines and the CE rules that apply.
- counts: research_pieces: 9, upcoming_ce_webinars: 0, replays: 0, upcoming_advisoriq_webinars: 0, advisoriq_articles: 0
- upcoming_advisoriq_webinars: 
- replays: 
- ce_webinars_from_around_the_industry: 
- research_library: title: Examinations Observations Regarding Investment Adviser Annual Compliance Review, publisher: SEC, source_type: Regulator, published_on: 2026-09-14, summary: 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., url: https://www.sec.gov/compliance/risk-alerts/examinations-observations-regarding-investment-adviser-annual-compliance-review-091426, checked: 2026-10-05; title: Investor Perspectives: Quarterly Reporting, publisher: CFA Institute, source_type: Industry association, published_on: 2026-09-02, summary: CFA Institute surveyed analysts and portfolio managers as the SEC considers letting public companies report semiannually. Most want quarterly reporting kept mandatory, expect less useful information under a voluntary regime, and do not see earnings releases as a substitute for quarterly filings., url: https://rpc.cfainstitute.org/research/surveys/2026/investor-perspectives-quarterly-reporting, checked: 2026-10-05; title: Conflicts of Interest in Continuation Funds: Part II in a Series on Ethics in Private Markets, publisher: CFA Institute, source_type: Industry association, published_on: 2026-07-23, summary: An ethics analysis of continuation funds, where a private equity manager sells assets from an older fund to a new one it also runs and so sits on both sides of the price. The report separates unavoidable conflicts from process failures and misconduct, and sets out practices such as competitive bidding and full disclosure., url: https://rpc.cfainstitute.org/research/reports/2026/conflicts-of-interest-continuation-funds, checked: 2026-10-05; title: Examinations Observations of Investment Adviser Obligations Related to Economic Conflicts of Interest, publisher: SEC, source_type: Regulator, published_on: 2026-06-09, summary: 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., url: https://www.sec.gov/compliance/risk-alerts/exams-observations-ia-obligations-related-economic-conflicts-interest-060926, checked: 2026-10-05; title: Additional Observations Regarding Advisers' Compliance with the Advisers Act Marketing Rule, publisher: SEC, source_type: Regulator, published_on: 2025-12-16, summary: 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., url: https://www.sec.gov/compliance/risk-alerts/additional-observations-regarding-advisers-compliance-advisers-act-marketing-rule, checked: 2026-10-05; title: Don't Let Scammers Steal Your Holiday Spirit: NASAA Unveils the 12 Top Investor Threats, publisher: NASAA, source_type: Regulator, published_on: 2025-12-10, summary: 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., url: https://www.nasaa.org/78329/holiday-investor-threats-nasaa-top-12/, checked: 2026-10-05; title: 2026 FINRA Annual Regulatory Oversight Report, publisher: FINRA, source_type: Regulator, published_on: 2025-12-09, summary: 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., url: https://www.finra.org/rules-guidance/guidance/reports/2026-finra-annual-regulatory-oversight-report, checked: 2026-10-05; title: SEC Division of Examinations Announces 2026 Priorities, publisher: SEC, source_type: Regulator, published_on: 2025-11-17, summary: 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., url: https://www.sec.gov/newsroom/press-releases/2025-132-sec-division-examinations-announces-2026-priorities, checked: 2026-10-05; title: NASAA Releases 2025 Enforcement Report, publisher: NASAA, source_type: Regulator, published_on: 2025-10-16, summary: 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., url: https://www.nasaa.org/77718/nasaa-releases-2025-enforcement-report/, checked: 2026-10-05
- advisoriq_articles: 
- next_compliance_deadlines: title: Form 13F, Q3 2026 holdings, due_on: 2026-11-16, who: Institutional investment managers that meet the $100 million threshold in Section 13(f) securities, how_the_date_is_set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after September 30 is Saturday, November 14, 2026; when the deadline falls on a weekend or holiday the filing is due the next business day, so Monday, November 16. The SEC's Form 13F FAQ lists this date., source: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05, url: https://advisoriq.com/calendar/#deadline-form-13f-2026-11-16; title: CRD/IARD renewal: full payment due for 2027, due_on: 2026-12-07, who: Broker-dealers and investment adviser firms that renew registrations through FINRA's CRD or IARD, including state-registered advisers and SEC-registered advisers with state notice filings, how_the_date_is_set: Set each year by FINRA's Renewal Program. For 2027 renewals, Preliminary Statements are available November 9, 2026 and payment is due on or before December 7, 2026. Final Statements follow on January 2, 2027., source: https://www.iard.com/renewals, checked: 2026-10-05, url: https://advisoriq.com/calendar/#deadline-crd-iard-renewal-payment-2026-12-07; title: CRD/IARD year-end filing deadline, due_on: 2026-12-27, who: Broker-dealers and investment adviser firms that file registration forms through CRD or IARD, how_the_date_is_set: Set each year by FINRA's Renewal Program. The last day to submit form filings for 2026 is December 27, 2026 at 6 p.m. ET, when CRD/IARD shuts down for the year. FINRA and IARD both list this date, which is a Sunday., source: https://www.iard.com/renewals, checked: 2026-10-05, url: https://advisoriq.com/calendar/#deadline-crd-iard-year-end-filing-2026-12-27; title: IAR CE: last CRD processing for 2026 renewals, due_on: 2026-12-27, who: IARs in IAR CE states who are behind on CE, above all anyone who also missed the 2025 requirement, how_the_date_is_set: Set for 2026 in NASAA's year-end memo of September 14, 2026: CRD stops processing course rosters for 2026 renewals at 4:00 PM Eastern on December 27. An IAR in CE Inactive status at that moment (deficient for both 2025 and 2026) fails to renew for 2027. NASAA Learning courses must be finished by midnight December 22 to be included., source: https://www.nasaa.org/wp-content/uploads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf, checked: 2026-10-05, url: https://advisoriq.com/calendar/#deadline-iar-ce-crd-shutdown-2026-12-27; title: FINRA CE Regulatory Element, 2026, due_on: 2026-12-31, who: FINRA-registered representatives and principals, for each registration held, how_the_date_is_set: Annually by December 31 (FINRA Rule 1240(a)). Someone registered for the first time during a year has until December 31 of the following year. Missing it makes the registration inactive until the Regulatory Element is complete., source: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240, checked: 2026-10-05, url: https://advisoriq.com/calendar/#deadline-finra-ce-regulatory-element-2026-12-31
- full_lists: webinars: https://advisoriq.com/webinars/?topic=regulation-and-ethics, replays: https://advisoriq.com/replays/?topic=regulation-and-ethics, ce_webinars_from_around_the_industry: https://advisoriq.com/webinars/industry/, research: https://advisoriq.com/research/?topic=regulation-and-ethics

## Notes

- Research and CE webinars from around the industry link to the publisher's or host's own page. AdvisorIQ writes the summaries; inclusion is editorial and never paid.
- CE for webinars from around the industry is shown as each host states it; AdvisorIQ does not confirm it.
- Times are Eastern.

## Sources

- SEC, checked 2026-10-05: https://www.sec.gov/compliance/risk-alerts/examinations-observations-regarding-investment-adviser-annual-compliance-review-091426
- CFA Institute, checked 2026-10-05: https://rpc.cfainstitute.org/research/surveys/2026/investor-perspectives-quarterly-reporting
- CFA Institute, checked 2026-10-05: https://rpc.cfainstitute.org/research/reports/2026/conflicts-of-interest-continuation-funds
- SEC, checked 2026-10-05: https://www.sec.gov/compliance/risk-alerts/exams-observations-ia-obligations-related-economic-conflicts-interest-060926
- SEC, checked 2026-10-05: https://www.sec.gov/compliance/risk-alerts/additional-observations-regarding-advisers-compliance-advisers-act-marketing-rule
- NASAA, checked 2026-10-05: https://www.nasaa.org/78329/holiday-investor-threats-nasaa-top-12/
- FINRA, checked 2026-10-05: https://www.finra.org/rules-guidance/guidance/reports/2026-finra-annual-regulatory-oversight-report
- SEC, checked 2026-10-05: https://www.sec.gov/newsroom/press-releases/2025-132-sec-division-examinations-announces-2026-priorities
- NASAA, checked 2026-10-05: https://www.nasaa.org/77718/nasaa-releases-2025-enforcement-report/
- Form 13F, Q3 2026 holdings, checked 2026-10-05: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f
- CRD/IARD renewal: full payment due for 2027, checked 2026-10-05: https://www.iard.com/renewals
- IAR CE: last CRD processing for 2026 renewals, checked 2026-10-05: https://www.nasaa.org/wp-content/uploads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf
- FINRA CE Regulatory Element, 2026, checked 2026-10-05: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240

## Related

- [Compliance deadlines and industry events](https://advisoriq.com/calendar/)
- [CE requirements by designation, with sources](https://advisoriq.com/ce/requirements/)
- [IAR CE requirements by state](https://advisoriq.com/ce/requirements/iar/)
- [CE calculator: what you owe and when](https://advisoriq.com/ce/)
- [All topics](https://advisoriq.com/topics/)

## Cite as

AdvisorIQ, as of 2026-10-08. https://advisoriq.com/topics/regulation-and-ethics/

License: https://advisoriq.com/license/