Deadline
Form ADV Annual Amendment deadline is April 1, 2026 — 5 days remaining
SEC requires all registered investment advisers to file their annual Form ADV amendment within 90 days of fiscal year-end. For calendar year firms, this is April 1.
SEC · Form ADV · Mar 27, 2026
SEC
SEC 2026 Examination Priorities: AI, cybersecurity, and ESG claims top the list
The SEC's Office of Examinations released its annual priorities. RIAs using AI tools should review disclosure practices. Cybersecurity programs will be scrutinized for completeness of written policies.
SEC OCIE · Examination Priorities · Mar 22, 2026
FINRA
FINRA Annual Regulatory and Examination Priorities Letter — March 2026 edition published
Key focus areas this year: senior investor protection, complex product suitability, communications compliance, and AML programs. Broker-dealers should review supervisory procedures against new guidance.
FINRA · Regulatory Notice · Mar 19, 2026
State
NASAA releases updated model rules for state-registered investment advisers
The North American Securities Administrators Association updated its model investment adviser act provisions to include digital asset treatment guidelines. State-registered RIAs should review applicability.
NASAA · Model Rules · Mar 15, 2026