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Key Bridge Compliance CEO Selected for Leadership Kentucky
Key Bridge Compliance CEO Matt Swendiman joins the Leadership Kentucky Class of 2026, one of 52 leaders selected for the prestigious program.
So You Want to Launch a Private Fund?
Thinking about launching a private fund? Here’s what RIAs need to know before the first investor signs a subscription document.
SEC’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
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’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
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 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,…
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…
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…