SEC Releases Archives - Page 4 of 88

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 […]

SEC Chair Paul Atkins Remarks at SEC Town Hall

SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new regulatory landscape. Industry experts pull from […]

$2.9 Million Charge to RIA for Breach of Fiduciary Duty

SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of interest, violating their fiduciary duty. […]

SEC Cracks Down on AI Misrepresentation

SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors by making false and misleading […]

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 […]