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Firm 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SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed Rules stem from between March […]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. […]
Read MoreSEC 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 […]
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