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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.
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.
What RIAs Should Know From the 2026 Compliance Week Conference
Key Bridge shares key takeaways from the 2026 Compliance Week Conference on AI governance, regulatory shifts, and what they mean for RIAs.
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.
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…
What RIAs Should Know From the 2026 Compliance Week Conference
Key Bridge shares key takeaways from the 2026 Compliance Week Conference on AI governance, regulatory shifts, and what they mean for RIAs.
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.
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.
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…
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…
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 2022 Examination Priorities
By Kevin Kirk On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released its 2022 Exam Priorities. The stated purpose…
PART I: Addressing Recent OCIE Risks—Inadequate Compliance Resources
Author: Amy D’Avella This is the first in a series of blogs which will analyze the SEC’s Office of Compliance Inspections & Examination’s (OCIE) November…
Risk Alert: OCIE Releases Risk Alert Targeting CCOs and Compliance programs
Coinciding with the SEC’s annual Compliance Outreach Program National Seminar, on November 19 the Office of Compliance Inspections & Examinations (OCIE) released a risk alert…
The SEC Updates Form CRS FAQs
In the wake of an investigation by the Wall Street Journal showing that 20% of firms incorrectly stated having no disciplinary history in their Form…
SEC Expands Definition of Accredited Investor
Author: Amy D’Avella Accredited investors are those the SEC deems sufficiently sophisticated to operate in riskier investment environments, such as private markets. This definition has…
OCIE Cybersecurity Risk Alert
Author: Amy D’Avella On September 15, 2020, the Office of Compliance Inspection & Examinations (OCIE) issued a Risk Alert titled Cybersecurity: Safeguarding Client Accounts against…
SEC Releases COVID-19 Risk Alert for Brokers and Advisors
Author: Brian DeChow On August 12th, the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert highlighting a variety of compliance issues that…