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    • ENFORCEMENT—2d Cir.: Second Circuit upholds sanctions against trust attorney over false declaration
    • ACCOUNTING AND AUDITING—PCAOB proposes to amend rules on comfort letters
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    • AI NEWS—AI-enabled hacking fuels need to renew cyber info-sharing law, business groups say
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    • CFTC NEWS AND SPEECHES—CFTC and USDA agree to coordinate on common regulatory interests with MOU
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    • FINANCIAL INTERMEDIARIES—SEC increases thresholds for ‘small‘ advisers and investment companies to tailor regulatory impact
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    Securities Regulation Daily Wrap Up, FINANCIAL INTERMEDIARIES—SEC increases thresholds for ‘small‘ advisers and investment companies to tailor regulatory impact, (Nov 4, 2026)

    By Lene Powell, J.D.

    The amendments are meant to reflect industry growth in the past 30 years and minimize regulatory burden for small firms.

    The SEC adopted final rule amendments that increase thresholds used to define small investment advisers and investment companies f ...

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