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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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SEC Releases
RIA and CEO Charged for Fraudulent Billing
July 15, 2025SEC Releases Introduction The SEC charged a Chicago RIA, and its CEO, on July 3rd for charging improper fees. The[...]
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SEC Releases
SEC Office of the Investor Advocate Releases FY 2026 Objectives
June 30, 2025SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant[...]
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SEC Releases
Custody Rule and Disclosure Violations
June 24, 2025SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing[...]
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SEC Releases
Firm Charged for Fraudulent Press Release Statements
June 18, 2025SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are[...]
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SEC Releases
SEC Withdraws 14 Proposed Rules
June 13, 2025SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]
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SEC Releases
SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
June 12, 2025SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]
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SEC Releases
RIA Charged for Disclosure Failures and Misleading Statements
June 10, 2025SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]
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