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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
On July 16 the SEC proposed Regulation E-Delivery, which would make electronic delivery the default method for information required to be delivered under the federal…
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.
Key Bridge Compliance CEO Selected for Leadership Kentucky
Key Bridge Compliance CEO Matt Swendiman joins the Leadership Kentucky Class of 2026, one of 52 leaders selected for the prestigious program.
So You Want to Launch a Private Fund?
Thinking about launching a private fund? Here’s what RIAs need to know before the first investor signs a subscription document.
SEC’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
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.
Key Bridge Compliance CEO Selected for Leadership Kentucky
Key Bridge Compliance CEO Matt Swendiman joins the Leadership Kentucky Class of 2026, one of 52 leaders selected for the prestigious program.
So You Want to Launch a Private Fund?
Thinking about launching a private fund? Here’s what RIAs need to know before the first investor signs a subscription document.
SEC’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
The SpaceX IPO Buzz: What RIAs Should Be Thinking About
The SpaceX IPO is coming. Here’s what RIAs need to know about allocations, ethics, marketing, and fiduciary obligations before the hype hits.
SEC Proposes Regulation E-Delivery
On July 16 the SEC proposed Regulation E-Delivery, which would make electronic delivery the default method for information required to be delivered under the federal…
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…
Are You Prepared for the 2025 SEC Exam Priorities?
SEC Releases 2025 Examination Priorities The Securities and Exchange Commission (SEC) released its examination priorities for the 2025 fiscal year on Monday morning, highlighting some…
T+1 to T+2 (Why?)
By Maddy Everson, Compliance Extern Fall 2023 Background As technology has improved over the last several decades, the trade settlement period has shortened. In the…