SEC Releases
$325K SEC Fine Reflects Growing Regulatory Cyber Expectations
SEC Releases Introduction On November 25th, 2025, a dually registered Broker Dealer and Registered Investment Adviser (RIA) has agreed to pay $325,000 to settle SEC […]
Read MoreSEC Charges 6 Advisers for False Filings
SEC Releases Introduction On November 17, 2025, the SEC announced charges against six (6) Investment Advisory Entities for submitting Form ADV Filings that allegedly contained […]
Read More2026 Division of Examinations Exam Priorities | Key Takeaways
SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These priorities provide a forward-looking roadmap […]
Read More$5M Fine Shows the Cost of Inaccurate Marketing
SEC Releases Introduction On September 18, 2025, the SEC announced a $5 Million Civil Penalty against a well-known Broker/Dealer for misrepresenting the accuracy and speed […]
Read MorePrivate Capital Markets | SEC Commissioner Takeaways
SEC Releases Introduction On September 4, 2025, SEC Commissioner, Mark Uyeda, opened the SIFMA Private Markets Valuation Roundtable by highlighting the vital role that Private Capital […]
Read MoreMarketing Rule & Recordkeeping Violations | RIA Charged
SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations (Marketing Rule, Books and Records). […]
Read More$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer $750,000 for failing to adequately […]
Read More$19.5M Fine for Failures in Disclosing Conflicts of Interest
SEC Releases Introduction On August 29, 2025, the SEC ordered a well-known Adviser ($300 Billion RIA – $9.3 Trillion Globally) to pay a fine of […]
Read MorePrivate Fund RIA Charged Over $1.2 Million for Excess Management Fees
SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in civil penalties due to over […]
Read MoreEnhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16, focusing on Registered Closed‑End Funds […]
Read MoreRIA Charged for Custody Rule Violations
SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification requirements for Firms maintaining custody […]
Read MoreFormer CCO Charged for Altering Documents during SEC Exam
SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]
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