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Tuesday, October 27, 2026 · Today’s edition, 6:30 a.m. ETTue, Oct 27 · 6:30 a.m. editionSign inMy Desk 0EditionsSign in
Private Wealth Daily
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Paul S. Atkins

In network coverage since September 30, 2026 · 16+ stories
Network coverage
Manager Selection

SEC Division of Examinations publishes exam handbook

The guide replaces the division's earlier brochure and maps each stage from risk assessment to the disposition letter; no rules change.
Manager Selection · Oct 23SEC proposes performance fees for regulated fund advisers
RIA · Oct 23SEC 2027 exams test RIA fee conflicts and product fit
Liquidity · Oct 9SEC cross-trading proposal restores Level 2 fixed income, excludes Level 3 assets
Products & portfolios · Oct 9SEC proposes expanding cross trading by registered funds
Regulation · Oct 9SEC proposes expanding cross trading by registered funds to most fixed-income securities
Practice management · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook
Products & portfolios · Oct 6SEC proposes crypto custody framework for advisers and regulated funds
Practice management · Oct 6SEC proposes rescinding pay-to-play rule for advisers with government clients
Practice management · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams
Filings · Oct 1SEC private-market proposals draw compliance warnings from ACA Group and STP consultants
Regulation · Oct 1SEC Division of Examinations publishes exam process handbook for registrants
New funds · Sep 30SEC proposes performance fees and looser repurchase rules for interval funds
The Close · Sep 30SEC asks whether a CFP or CPA should count as an accredited investor
Products & portfolios · Sep 30SEC proposes performance fees in regulated funds, asks about FINRA accreditation exam
RIA · Sep 30Bruce Markets plans weekend U.S. equity trading, pending regulatory approval
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