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.
News
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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.
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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.
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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.
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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…
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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…
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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,…
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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…
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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…
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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…
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