Three recent SEC enforcement actions illustrate the current Commission’s continuing focus on operational compliance, conflicts of interest, and the Custody Rule.
Key Bridge Compliance has assisted a client that received what appears to be one of the first Reg S-P focused examinations.
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
The SEC has raised the financial thresholds used to determine whether a client qualifies for performance-based advisory fees under Rule 205-3.
On May 4, 2026, NASAA approved amendments to several model advertising rules intended to align them more closely with the SEC Marketing Rule.
Chairman Atkins states that the Commission has “put a stop to regulation by enforcement” and recentered the program on its core mission.
The SEC and CFTC jointly proposed amendments to Form PF designed to reduce reporting burdens on private fund advisers.
The SEC has issued a formal interpretation aimed at establishing a clear framework for how federal securities laws apply to crypto assets.
After years of legal battles, the Department of Labor’s 2024 Retirement Security Rule is officially dead.
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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