SEC Releases Archives - Page 2 of 88

SEC Charges Private Credit Adviser Over Valuations

SEC Releases Introduction On February 25, 2026, the SEC charged an RIA specializing in Private Credit and Loan Investments with violating the Investment Advisers Act […]

SEC Names Rule FAQ

SEC Releases Introduction The Names Rule FAQs issued by the SEC provide practical guidance on amendments to Rule 35d-1 under the Investment Company Act of […]

SEC Director of IM Discusses AI in Investment Management

SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of Investment Management, discussed how AI […]

Custody Rule Violations and Compliance Gaps Drive SEC Order

SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned by the same parent corporation) […]

New Marketing Compliance FAQs

SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and recent guidance from the Division […]

SEC Moves to Modernize Small Entity Thresholds

SEC Releases Brief Introduction On January 7, 2026, the SEC announced a Proposed Rule to modernize and expand the definitions of small entities for Investment […]

SEC Commissioner Crenshaw Raises Concerns on Market Direction

SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction of the regulatory environment. To […]

SEC Outlook | Brian Daly’s (SEC Director of IM) Remarks

SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly, addressed members of the American […]

$150K SEC Fine Highlights Importance of Transparency and Oversight

SEC Releases Introduction On November 24th, 2025, an RIA and its Principal agreed to pay $150,000 to settle an Enforcement Action by the SEC over […]

$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 […]

SEC 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 […]

2026 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 […]