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Digital Capital Daily
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Thursday, October 1, 2026The Morning Brief →Sign in
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Paul S. Atkins

In PWD coverage since August 20, 2026 · 9 stories
PWD coverage
regulation

SEC Division of Examinations publishes exam process handbook for registrants

The handbook replaces and expands on the division's examination brochure and covers each stage of an exam, from risk assessment to the disposition letter.
vehicles · 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
portfolio · 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
vehicles · Sep 16The SEC's proxy rollback reaches interval funds by inheritance
RIA · Sep 4Pay-to-play repeal trades one rule for patchwork
practice · Sep 3The SEC would scrap the pay-to-play rule. The two-year ban is still law.
portfolio · Aug 20SEC asks FINRA for an accredited-investor exam that tests know-how
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