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…
Author: Ian Meiksins
Final Rule Adopted by the SEC: Private Funds and Documentation- Action Items
By Ian Meiksins, KBC President On August 23rd, 2023 the Securities and Exchange Commission (“SEC”) approved a final rule making a vast array of changes…
The SEC’s New Rule Proposal
By Ian Meiksins, Key Bridge Compliance President The Securities and Exchange Commission proposed a new rule that would require registered investment advisors to conduct due…
SEC Proposes Increased Threshold for 13F Reporting
Author: Ian Meiksins The SEC has proposed a substantial leap in the reporting threshold of Form 13F. Form 13F, as it currently stands, requires advisors…
SEC Announces No Delay for Regulation Best Interest and Form CRS
Author: Ian Meiksins In a statement issued by SEC Chairman, Jay Clayton, the SEC announced it will not be extending the compliance date for the…
SEC Announces 2020 Examination Priorities
Author: Ian Meiksins In FY 2019, the SEC conducted 2,180 examinations of Investment Advisors which is approximately 15% of all federally registered advisors. Yet, in…
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