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SEC Releases
SEC Names Rule Compliance Date Extended
March 17, 2025SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month[...]
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SEC Releases
Acting Chair Mark Uyeda Recent Speeches | Key Takeaways
March 05, 2025SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s[...]
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SEC Releases
SEC Announces Cyber and Emerging Technologies Unit (CETU)
February 20, 2025SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February[...]
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SEC Releases
RIA Charged for Breaching Fiduciary Duty
February 18, 2025SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving[...]
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SEC Releases
Form PF Amendments Compliance Date Extension
January 30, 2025SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form[...]
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SEC Releases
Misleading Cybersecurity Disclosure Leads to SEC Charges
January 26, 2025SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]
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SEC Releases
Improper Private Fund Expenses | Managers and Owner Charged
January 22, 2025SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]
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SEC Releases
Record Number of SEC Enforcement Actions | Q1 of FY 2025
January 21, 2025SEC Releases Introduction The SEC recently announced the results of their Enforcement Actions for the first quarter of their 2025 fiscal year. The[...]
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SEC Releases
$63.1 Million in Penalties for Recordkeeping Failures (12 Firms Charged)
January 15, 2025SEC RELEASES Introduction The SEC continues to investigate and charge Firms that fail to meet regulatory requirements around recordkeeping. On[...]
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SEC Releases
Names Rule FAQ Released by the SEC
January 13, 2025SEC RELEASES Introduction The SEC recently published an FAQ to answer certain industry questions surrounding the amendments to the Names[...]
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SEC Releases
3 Firms Charged for Delayed Form D Filings
January 07, 2025SEC RELEASES Introduction Three (3) Firms were charged $430,000 in total on December 20th, 2024 for failing to timely file[...]
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SEC Releases
Firm Charged $15 Million for Failure to Prevent and Detect Fraud
December 23, 2024SEC RELEASES Introduction After four investment advisers and registered representatives (hereby, financial advisors) were charged with stealing millions of dollars,[...]
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