Huo Xing Finance reports that on October 6, according to official announcements, the U.S. Securities and Exchange Commission (SEC) Compliance Outreach Program has announced it will host an online national seminar for investment companies and investment advisers on November 19, 2026. The event aims to assist chief compliance officers and senior executives of investment advisory firms and investment companies in strengthening their compliance frameworks to better protect investors. Discussions will cover topics including information security and operational resilience, issues related to registered investment advisers, issues related to private fund advisers, issues related to registered investment companies, effectiveness of compliance programs, and briefings on current hot topics. No prior registration is required. The live stream link will be posted on the SEC’s official website on the morning of November 19. Participants may also submit questions in advance or during the event via the links provided in the agenda.
U.S. SEC to Host National Compliance Webinar for Investment Firms and AdvisorsOn October 6, 2026, the U.S. SEC announced it will host a national compliance webinar for investment firms and advisors on November 19, 2026. The virtual event will cover crypto compliance, information security, operational resilience, and the effectiveness of compliance systems. Topics will also include issues related to registered investment advisors, private fund advisors, and registered investment companies. No registration is required. A live stream will be available on the SEC’s website, with a link to submit questions included in the agenda. This is the latest in a series of SEC updates aimed at enhancing regulatory clarity.
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