ICS Insights
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SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
Washington D.C., Jan. 7, 2026 —The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the...
FINRA Proposes Changes to Hybrid RIA Oversight
Proposed Rule 3290 would reclassify RIA activity as an outside activity, reducing broker-dealer supervision and recordkeeping obligations for hybrid models.FINRA may be redefining how hybrid RIAs are treated.FINRA proposed Rule 3290 (Outside Activities Requirements),...
FinCEN Formally Proposes Two-Year Delay of Investment Adviser AML Rule
What This Means for Advisers:FinCEN has formally proposed to delay the effective date of the investment adviser AML rule from January 1, 2026, to January 1, 2028.The amendment itself is narrowly tailored to delaying the effective date, leaving the substance of the...
How the OBBBA is Transforming U.S. Tax Planning—and Why You Need Expert Help
The One Big Beautiful Bill Act (OBBBA) is now law, ushering in one of the most consequential overhauls of the U.S. tax system in recent memory. Its scope is sweeping—locking in the Qualified Business Income deduction, expanding Section 1202 gains exclusions,...
Treasury Sanctions Venezuelan Cartel Headed by Maduro
July 25, 2025WASHINGTON — Today, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) sanctioned the Cartel de los Soles (a.k.a. Cartel of the Suns) as a Specially Designated Global Terrorist. Cartel de los Soles is a Venezuela-based criminal group...
Treasury Announces Postponement and Reopening of Investment Adviser Rule
July 21, 2025WASHINGTON––In order to ensure efficient regulation that appropriately balances costs and benefits, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) today is announcing its intention to postpone the effective date of the...
SEC resumes processing applications for Swiss investment advisers
SEC resumes processing applications for Swiss investment advisersOn June 10, 2025, the U.S. Securities and Exchange Commission (SEC) announced that it will resume processing applications for Swiss financial institutions seeking to operate as Registered Investment...
Finra Proposes Fee Increases Starting in 2025
Yesterday, the SEC finally approved the proposed changes to the Private Funds regulations. Below you will find the official news release and an attachment with the Key Changes. Most of the changes/updates will become effective in 12 to 18 months; however, the SEC is...
With $1.5 Trillion in AUM, RIA Consolidators Are Reshaping the Industry: Cerulli
Yesterday, the SEC finally approved the proposed changes to the Private Funds regulations. Below you will find the official news release and an attachment with the Key Changes. Most of the changes/updates will become effective in 12 to 18 months; however, the SEC is...
AI Usage Top Priority for SEC Examiners in 2025
Yesterday, the SEC finally approved the proposed changes to the Private Funds regulations. Below you will find the official news release and an attachment with the Key Changes. Most of the changes/updates will become effective in 12 to 18 months; however, the SEC is...