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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 […]
Read MoreRIA 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 […]
Read MoreSEC 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 […]
Read MoreCustody 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 […]
Read MoreFirm 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 […]
Read MoreSEC 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SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed Rules stem from between March […]
Read MoreSEC 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 […]
Read MoreRIA 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 […]
Read MoreSEC’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 […]
Read MoreRulemaking 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 […]
Read MoreSEC 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 […]
Read More$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. […]
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