Blog
Blog Posts
Your CCO Just Quit. Would Your Compliance Program Survive?
If your CCO quit tomorrow, would your compliance program survive? What the SEC’s annual review Risk Alert means for RIA owners.
SEC Proposes Rescinding the Pay-to-Play Rule
The SEC has proposed rescinding the pay-to-play rule. Here is what advisers need to know before anything changes.
SEC Risk Alert: Annual Compliance Reviews
The SEC flagged five recurring problems with annual compliance reviews. Here is what they’re finding and what advisers should do differently.
Key Bridge Compliance Named to 2026 Inc. 5000 List
Key Bridge Compliance joins the 2026 Inc. 5000, ranking among America’s fastest-growing private companies.
Beyond Wealth: A New Path to Accredited Investor Status
Financial knowledge, not just wealth, could open the door to accredited investor status. Here’s what the SEC is considering.
Regulation S-P Sweep Examination: What We Are Seeing First-Hand
SEC Reg S-P exams go beyond written policies. See what two firsthand examinations reveal about how examiners test implementation.
Thinking About Starting an ETF? The Names Rule Matters
Thinking about launching an ETF or mutual fund? The SEC’s Names Rule can turn a fund name into an 80% investment obligation.
Books and Records: A Revision May Finally Be Coming
The SEC’s books and records rule hasn’t changed in 65 years. A revision may be coming, and here’s what advisers should know and do now.
SEC Proposes Regulation E-Delivery
The SEC’s proposed Regulation E-Delivery would make electronic delivery the default. Here’s what RIAs need to know now.
Your CCO Just Quit. Would Your Compliance Program Survive?
If your CCO quit tomorrow, would your compliance program survive? What the SEC’s annual review Risk Alert means for RIA owners.
SEC Risk Alert: Annual Compliance Reviews
The SEC flagged five recurring problems with annual compliance reviews. Here is what they’re finding and what advisers should do differently.
Key Bridge Compliance Named to 2026 Inc. 5000 List
Key Bridge Compliance joins the 2026 Inc. 5000, ranking among America’s fastest-growing private companies.
Regulation S-P Sweep Examination: What We Are Seeing First-Hand
SEC Reg S-P exams go beyond written policies. See what two firsthand examinations reveal about how examiners test implementation.
Thinking About Starting an ETF? The Names Rule Matters
Thinking about launching an ETF or mutual fund? The SEC’s Names Rule can turn a fund name into an 80% investment obligation.
Books and Records: A Revision May Finally Be Coming
The SEC’s books and records rule hasn’t changed in 65 years. A revision may be coming, and here’s what advisers should know and do now.
Enforcement Sweep Targets Disciplinary Disclosures
The SEC’s Division of Enforcement appears to be conducting a sweep focused on whether registered investment advisers have accurately disclosed disciplinary events.
Recent SEC Enforcement Actions Focus on Operational Compliance, Conflicts of Interest, and the Custody Rule
Three recent SEC enforcement actions illustrate the current Commission’s continuing focus on operational compliance, conflicts of interest, and the Custody Rule.
First Regulation S-P Examinations Arrive
Key Bridge Compliance has assisted a client that received what appears to be one of the first Reg S-P focused examinations.
SEC Proposes Rescinding the Pay-to-Play Rule
The SEC has proposed rescinding the pay-to-play rule. Here is what advisers need to know before anything changes.
Beyond Wealth: A New Path to Accredited Investor Status
Financial knowledge, not just wealth, could open the door to accredited investor status. Here’s what the SEC is considering.
SEC Proposes Regulation E-Delivery
The SEC’s proposed Regulation E-Delivery would make electronic delivery the default. Here’s what RIAs need to know now.
SEC Increases Performance Fee Thresholds
The SEC has raised the financial thresholds used to determine whether a client qualifies for performance-based advisory fees under Rule 205-3.
NASAA Approves Marketing Rule Amendments
On May 4, 2026, NASAA approved amendments to several model advertising rules intended to align them more closely with the SEC Marketing Rule.
SEC and CFTC Propose Form PF Amendments
The SEC and CFTC jointly proposed amendments to Form PF designed to reduce reporting burdens on private fund advisers.
SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
The SEC has issued a formal interpretation aimed at establishing a clear framework for how federal securities laws apply to crypto assets.
DOL Fiduciary Rule Vacated: The Five-Part Test Is Restored
After years of legal battles, the Department of Labor’s 2024 Retirement Security Rule is officially dead.
Marketing Examination Risk Alert – December 2025
The SEC continues to focus heavily on marketing during examinations, with renewed attention on testimonials, endorsements, and third party ratings Recent exam findings show that…