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Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16, focusing on Registered Closed‑End Funds […]
Read MoreRIA Charged for Custody Rule Violations
SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification requirements for Firms maintaining custody […]
Read MoreFormer CCO Charged for Altering Documents during SEC Exam
SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]
Read MoreRIA Charged Nearly $2 Million for Multiple Compliance Failures
SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of interest, overbilling clients, and through […]
Read MoreFirm 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SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed Rules stem from between March […]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 […]
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