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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 […]
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 […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read More$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 […]
Read More$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 […]
Read MoreSEC 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 […]
Read More2026 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 […]
Read More$5M Fine Shows the Cost of Inaccurate Marketing
SEC Releases Introduction On September 18, 2025, the SEC announced a $5 Million Civil Penalty against a well-known Broker/Dealer for misrepresenting the accuracy and speed […]
Read MorePrivate Capital Markets | SEC Commissioner Takeaways
SEC Releases Introduction On September 4, 2025, SEC Commissioner, Mark Uyeda, opened the SIFMA Private Markets Valuation Roundtable by highlighting the vital role that Private Capital […]
Read MoreMarketing Rule & Recordkeeping Violations | RIA Charged
SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations (Marketing Rule, Books and Records). […]
Read More$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer $750,000 for failing to adequately […]
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