SEC Releases Archives - Page 3 of 88

RIA Charged Nearly $2 Million for Multiple Compliance Failures

SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of interest, overbilling clients, and through […]

Firm Charged Over $2 Million for False and Misleading Statements

SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the SEC continues its main goal […]

RIA and CEO Charged for Fraudulent Billing

SEC Releases Introduction The SEC charged a Chicago RIA, and its CEO, on July 3rd for charging improper fees. The SEC alleges that the Firm […]

SEC Office of the Investor Advocate Releases FY 2026 Objectives

SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant problems that may occur with […]

Custody Rule and Disclosure Violations

SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing to comply with Commission requirements […]

Firm Charged for Fraudulent Press Release Statements

SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are still frequent reminders that investigations […]

SEC Withdraws 14 Proposed Rules

SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed Rules stem from between March […]

SEC Chair Testimony Before Senate Subcommittee | Key Takeaways

SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services and General Government earlier this […]

RIA Charged for Disclosure Failures and Misleading Statements

SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly made false and misleading fee […]

SEC’s Emerging Trends in Asset Management Conference | Key Takeaways

SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation, and shifting investor dynamics are […]

Rulemaking and Economic Analysis | Paul Atkins Remarks

SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial Market Regulation. Compliance professionals have […]

Adopted Amendments to Reg S-P

SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes regarding the adopted amendments to […]