SEC FY 2025 Enforcement Results: A Philosophical Reset
Chairman Atkins states that the Commission has “put a stop to regulation by enforcement” and recentered the program on its core mission.
Author: Chris Payne
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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.
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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.
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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.
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The SEC Releases New Guidance for Advisors Voting Proxies
Author: Chris Payne Yesterday, the SEC adopted new rules surrounding proxy advisory firms and provided supplemental guidance for investment advisers to follow. As a result…
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The SEC Continues to Put Private Fund Advisers on Notice
Author: Chris Payne On June 23rd, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert[1] intended to highlight the compliance…
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Stock Market Volatility & Your Compliance Program
Author: Chris Payne On March 11, 2020, the Dow Jones Industrial Average closed down 1,465 points, or nearly 5.9%. This drop meant a total decrease…
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