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.
Regulatory Update
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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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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…
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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. …
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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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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…
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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 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,…
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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…
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