SEC Releases Archives - Page 3 of 86

SEC AI Roundtable | Key Takeaways

SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”) in the financial industry. As […]

SEC Charges Two (2) Officers and the Adviser for Misuse of Assets

SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund and Company Assets. Compliance programs […]

Updated Marketing Rule FAQs Released

SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC Marketing Rule. This was originally hinted […]

SEC Names Rule Compliance Date Extended

SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month extension to the compliance dates. […]

Acting Chair Mark Uyeda Recent Speeches | Key Takeaways

SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s role moving forward during many […]

SEC Announces Cyber and Emerging Technologies Unit (CETU)

SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February 20th, 2025, the creation of […]

RIA Charged for Breaching Fiduciary Duty

SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving their retail clients. Fiduciary Duty […]

Form PF Amendments Compliance Date Extension

SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form PF that were adopted on […]

Misleading Cybersecurity Disclosure Leads to SEC Charges

SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading cybersecurity disclosures. Cybersecurity was a […]

Improper Private Fund Expenses | Managers and Owner Charged

SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to their Private Funds. The SEC […]

Record Number of SEC Enforcement Actions | Q1 of FY 2025

SEC Releases Introduction The SEC recently announced the results of their Enforcement Actions for the first quarter of their 2025 fiscal year. The number of Enforcement Actions is at […]

$63.1 Million in Penalties for Recordkeeping Failures (12 Firms Charged)

SEC RELEASES Introduction The SEC continues to investigate and charge Firms that fail to meet regulatory requirements around recordkeeping. On January 13, 2025, nine (9) […]