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SEC Charges Private Fund Adviser for Excess Fees and Misstatements
SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser and its Principal in the […]
Read MoreSEC & CFTC Propose Form PF Changes to Reduce Private Fund Reporting Burdens
SEC Releases Introduction The SEC and CFTC jointly proposed amendments to Form PF aimed at reducing reporting burdens for Private Fund Advisers while still preserving […]
Read MoreSEC FY25 Enforcement Results
SEC Releases Introduction The SEC’s Fiscal Year 2025 enforcement results signal a meaningful shift in how the agency approaches enforcement. While overall enforcement activity declined […]
Read MoreInvestment Company Growth and the Role of Regulation
SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the expanding role of Investment Companies […]
Read MoreSEC Leaders Discuss Disclosure Reform and Market Innovation
SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important regulatory topics currently shaping the […]
Read MoreSEC Chair Remarks on AI and Market Oversight
SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation Series, SEC Chair, Paul Atkins, […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreCustody 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) […]
Read MoreNew 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 […]
Read MoreSEC 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 […]
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