Regulatory Calendar 2026

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Registered Investment Advisers with less than $1.5 billion in assets under management, classified as small advisers, must comply with the recent amendments to Regulation S-P. These amendments require firms to establish and maintain written incident response policies and procedures designed to detect, respond to, and recover from unauthorized access to customer information. Additionally, covered entities must provide written notice to affected individuals within 30 days of becoming aware of a data security incident involving sensitive customer information that could result in substantial harm or inconvenience. Large advisers were required to comply by December 3, 2025.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

Waystone sends a subscription notice on the first of each month to identified clients requesting updated Form D and Blue-Sky subscription data for new investor subscriptions. This notice ensures compliance with state securities laws by capturing information needed for timely Blue-Sky filings. If your firm is interested in assistance with these filings, please contact your Waystone compliance consultant or Waystone for services.

If applicable, an annual amendment to Form D must be filed through EDGAR on or before the first anniversary of the initial filing or last amendment for any ongoing Regulation D offering. The amendment updates any changes or confirms current offering status and is required even if no changes have occurred.

If applicable, annual renewal of state Blue-Sky notice filings must be completed for any ongoing private offerings, typically on or before the anniversary of the initial filing. Blue Sky filings are state-level securities notice filings required under state laws to maintain compliance when selling securities to investors in those states. For Regulation D offerings, this generally involves filing a Form D notice and paying applicable fees in states where investors reside. Initial Blue-Sky filings occur when a new subscription is made. Waystone sends a subscription notice monthly to identified clients. Please contact your Waystone compliance consultant or Waystone if you would like services.

TIC Form SHLA is only required if your firm is contacted by the Federal Reserve Bank of New York to participate in the annual survey of foreign residents’ holdings of U.S. securities. If notified, you must complete and submit TIC Form SHLA by the deadline provided in the Fed’s instructions. No filing is required unless you receive direct notification.

Commodity Pool Operators (CPOs) are required under CFTC Rule 4.22 and NFA regulations to prepare and distribute an Annual Report, which includes audited financial statements certified by an independent public accountant, to all pool participants. This report must also be filed with the NFA within 90 calendar days of the pool’s fiscal year-end or upon permanent cessation of trading, whichever occurs first.

The Corporate Transparency Act (CTA), enacted on January 1, 2021, is a federal law aimed at combating money laundering, tax fraud, and other illicit activities by requiring certain entities to disclose their Beneficial Ownership Information (BOI) to the Financial Crimes Enforcement Network (FinCEN). Foreign entities classified as “reporting companies” under the CTA must report BOI unless they qualify for an exemption; however, they are not required to report U.S. persons as beneficial owners. Entities formed or registered after January 1, 2025, must submit BOI reports within 30 days of formation or registration.

EDGAR Next is the SEC’s enhanced platform for managing filer access and account information. Enrolled entities must confirm their company details annually during the fiscal quarter selected at enrollment. If enrollment occurs in a different quarter, the confirmation period for the following year will be adjusted accordingly.