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SEC Releases
2026 Division of Examinations Exam Priorities | Key Takeaways
November 18, 2025SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These[...]
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SEC Releases
$5M Fine Shows the Cost of Inaccurate Marketing
September 22, 2025SEC Releases Introduction On September 18, 2025, the SEC announced a $5 Million Civil Penalty against a well-known Broker/Dealer for[...]
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SEC Releases
Private Capital Markets | SEC Commissioner Takeaways
September 17, 2025SEC Releases Introduction On September 4, 2025, SEC Commissioner, Mark Uyeda, opened the SIFMA Private Markets Valuation Roundtable by highlighting the[...]
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SEC Releases
Marketing Rule & Recordkeeping Violations | RIA Charged
September 09, 2025SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations[...]
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SEC Releases
$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
September 05, 2025SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer[...]
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SEC Releases
$19.5M Fine for Failures in Disclosing Conflicts of Interest
September 03, 2025SEC Releases Introduction On August 29, 2025, the SEC ordered a well-known Adviser ($300 Billion RIA – $9.3 Trillion Globally)[...]
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SEC Releases
Private Fund RIA Charged Over $1.2 Million for Excess Management Fees
August 20, 2025SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in[...]
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SEC Releases
Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
August 19, 2025SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16,[...]
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SEC Releases
RIA Charged for Custody Rule Violations
August 07, 2025SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification[...]
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SEC Releases
Former CCO Charged for Altering Documents during SEC Exam
July 24, 2025SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for[...]
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SEC Releases
RIA Charged Nearly $2 Million for Multiple Compliance Failures
July 18, 2025SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of[...]
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SEC Releases
Firm Charged Over $2 Million for False and Misleading Statements
July 16, 2025SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the[...]
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