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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 […]
Read MoreSEC 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. […]
Read MoreActing 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 […]
Read MoreSEC Announces Cyber and Emerging Technologies Unit (CETU)
SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February 20th, 2025, the creation of […]
Read MoreRIA Charged for Breaching Fiduciary Duty
SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving their retail clients. Fiduciary Duty […]
Read MoreForm PF Amendments Compliance Date Extension
SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form PF that were adopted on […]
Read MoreMisleading Cybersecurity Disclosure Leads to SEC Charges
SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading cybersecurity disclosures. Cybersecurity was a […]
Read MoreImproper Private Fund Expenses | Managers and Owner Charged
SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to their Private Funds. The SEC […]
Read MoreNames Rule FAQ Released by the SEC
SEC RELEASES Introduction The SEC recently published an FAQ to answer certain industry questions surrounding the amendments to the Names Rule adopted in 2023. The […]
Read More3 Firms Charged for Delayed Form D Filings
SEC RELEASES Introduction Three (3) Firms were charged $430,000 in total on December 20th, 2024 for failing to timely file Form D for Unregistered Securities […]
Read More2024 SEC Enforcement Results
SEC Releases Introduction The SEC has released their enforcement results for fiscal year 2024. This year was a record-setting year for financial penalties and remedies. As SEC Chair, Gary […]
Read MoreKey Takeaways from the SEC Compliance Outreach Seminar
SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by SEC Chair, Gary Gensler and […]
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