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SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
For over a decade, the SEC applied a case-by-case test to determine whether any given crypto asset was a security, often doing so through enforcement…
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. Federal courts in Texas vacated the rule in March…
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…
Anti-Money Laundering (AML) Rule Update – Delayed Until 2028
Well well well…FinCen has announced that its proposed AML rule, initially set to launch January 1, 2026, has been pushed back to January 1, 2028. …
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…
Looking Forward to Fall? SEC Division of Examinations Announces 2024 Priorities
10/19/2023 By Jared Calvert, Director, Compliance Services Changing leaves, cooler air, and pumpkin spiced lattes are not the only things investment advisers have to look…
SEC Press Release 9.11.2023 – Takeaways
By Lisa Ward, Director of Marketing Review and Matt Giggey, Director, Compliance Services As part of a sweep conducted by the Securities and Exchange Commission,…
SEC Risk Alert 9.6.23- A Breakdown for Advisors
By Sarah Schmidt, Consultant On September 6th, 2023, the Securities and Exchange Commission (SEC) issued a risk alert titled, “Investment Advisers: Assessing Risks, Scoping Examinations,…
SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
For over a decade, the SEC applied a case-by-case test to determine whether any given crypto asset was a security, often doing so through enforcement…
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. Federal courts in Texas vacated the rule in March…
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…
Looking Forward to Fall? SEC Division of Examinations Announces 2024 Priorities
10/19/2023 By Jared Calvert, Director, Compliance Services Changing leaves, cooler air, and pumpkin spiced lattes are not the only things investment advisers have to look…
SEC Press Release 9.11.2023 – Takeaways
By Lisa Ward, Director of Marketing Review and Matt Giggey, Director, Compliance Services As part of a sweep conducted by the Securities and Exchange Commission,…
Private Placements with Anthony Stanek
In a recent webinar, CEO Matt Swendiman was joined by Anthony Stanek, Managing Director at IPL (Investors Preferred). The webinar focused on the potential benefits…
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…
OCIE Risk Alert – Multi-Branch Offices
On November 9, 2010, the Securities and Exchange Commission’s Office of Examinations and Inspections released a risk alert titled Observations from OCIE’s Examinations of Investment…
New Phishing Scheme Posing as FINRA
Author: Amy D’Avella Key Bridge Compliance has been made aware of a new phishing attack against both FINRA members and SEC-registered investment advisers. The phishing…
SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
For over a decade, the SEC applied a case-by-case test to determine whether any given crypto asset was a security, often doing so through enforcement…
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. Federal courts in Texas vacated the rule in March…
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…
Anti-Money Laundering (AML) Rule Update – Delayed Until 2028
Well well well…FinCen has announced that its proposed AML rule, initially set to launch January 1, 2026, has been pushed back to January 1, 2028. …
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…
Looking Forward to Fall? SEC Division of Examinations Announces 2024 Priorities
10/19/2023 By Jared Calvert, Director, Compliance Services Changing leaves, cooler air, and pumpkin spiced lattes are not the only things investment advisers have to look…
SEC Risk Alert 9.6.23- A Breakdown for Advisors
By Sarah Schmidt, Consultant On September 6th, 2023, the Securities and Exchange Commission (SEC) issued a risk alert titled, “Investment Advisers: Assessing Risks, Scoping Examinations,…
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…