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SEC Sanctions Investment Adviser for Marketing Rule, Books-and-Records, and Compliance Violations
SEC sanctions Meridian Financial for marketing rule violations, faulty books-and-records, and weak annual compliance reviews. Learn what happened, key takeaways for advisers and broker-dealers, and how to proactively ensure your firm stays compliant with current Advisers Act requirements.
SEC Issues No-Action Relief for State Trust Companies as Crypto Custodians
SEC grants no-action relief for state trust companies as crypto custodians, clarifying eligibility for advisers and funds. Learn the conditions, impact on custody diligence, and updated disclosure and governance requirements.
SEC and CFTC Issue Joint Statement on Spot Crypto Asset Trading
SEC and CFTC issue a joint statement on spot crypto asset trading, signaling potential regulated venues for commodities-like crypto products. Explore implications for exchanges, advisers, and brokers, plus what this means for due diligence, disclosures, and market access.
SEC Staff Clarifies Position on Registered Closed-End Funds Investing in Private Funds
SEC staff clarifies stance on registered closed-end funds investing in private funds, removing the 15% cap and accred investor limits. Explore implications for disclosures, suitability, and compliance, plus what changes mean for fund distribution and investor communications.
RIA Form ADV Explained: What Every Investment Adviser Needs to Know in 2025
Master the essentials of Form ADV filing in 2025 with this comprehensive guide for investment advisers. Understand each ADV part, filing deadlines, and how to avoid compliance pitfalls with expert help from LawVisory.
What is Required to Register as an RIA in 2025?
Learn everything required to register as an RIA in 2025 with our complete guide to SEC and state investment adviser registration.
What RIAs Need to Know About M&A, Conflicts, and Retail Investor Protection
Learn how M&A, conflicts of interest, retail investor protection, and fiduciary duties shape the SEC’s 2026 exam priorities for RIAs. Key risks, insights, and steps to prepare.
Navigating the SEC’s 2026 Examination Priorities: What Advisers and Firms Need to Know
Navigate the SEC’s 2026 Examination Priorities with a clear guide to fiduciary duties, compliance programs, cybersecurity, AML, and emerging tech risks for RIAs and firms.
5 Gaps in RIA and Broker-Dealer Privacy Policies That Could Fail a Regulation S-P Exam
Most RIAs and broker-dealers have privacy policy gaps that could fail a Regulation S-P exam. Learn the 5 common weaknesses — incident response, vendor oversight, breach notification, safeguards, and evidence documentation — and get actionable steps to stay compliant before 2025/2026
Do You Have a Privacy Policy That Truly Protects Your Firm, Your Supervised Persons, and Your Clients?
Every RIA and broker-dealer has a privacy policy. But here’s the uncomfortable truth: most policies don’t actually protect the firm, its supervised persons, or its clients from a breach.
Navigating New CFTC Guidance on Voluntary Carbon Credits: What Market Players Need to Know
Navigate the CFTC’s new guidance on voluntary carbon credits: ensure quality, transparency, and compliance for VCC derivatives with robust verification and governance.
Treasury Postpones Investment Adviser AML Rule: What It Means for the Industry
Discover the implications of the Treasury's postponement of the Investment Adviser AML Rule to 2028. Learn how this delay affects compliance, regulatory reviews, and what investment advisers should do to prepare for upcoming changes in anti-money laundering regulations.
Unlocking the SEC’s Updated 2025 Marketing Rule FAQs: What Investment Advisers Need to Know
Unlock the SEC’s updated 2025 Marketing Rule FAQs—discover how investment advisers can simplify extracted performance presentations, enhance marketing flexibility, and ensure compliance with the latest SEC guidance.
SEC’s New No-Action Letter Eases Accredited Investor Verification Under Rule 506(c)
Learn how the SEC’s new no-action letter eases accredited investor verification under Rule 506(c), offering investment advisers greater flexibility, cost savings, and simplified compliance for private offerings and general solicitation.
SEC Fines Investment Advisers Over $63M for Off-Channel Communications Violations
The SEC charged 12 firms for using unauthorized messaging apps like WhatsApp and Signal for business communications. Learn how to avoid costly record keeping violations.
SEC Charges Investment Adviser for Misleading AML Compliance Claims
The SEC has charged Navy Capital Green Management for misrepresenting AML procedures and violating compliance laws. Learn what this means for investment advisers and how to avoid similar pitfalls.
Navigating the SEC’s 2025 Names Rule FAQs: What Investment Advisers Need to Know
Stay ahead of SEC regulations with our detailed guide to the 2025 Names Rule FAQs. Learn how investment advisers can ensure compliance with the 80% investment policy, navigate municipal fund nuances, and update disclosures to avoid regulatory risks.
How the SEC’s New Cyber and Emerging Technologies Unit is Changing the Game for Investment Advisers
Discover how the SEC’s new Cyber and Emerging Technologies Unit (CETU) is redefining cyber security and fraud enforcement for investment advisers. Learn what steps to take for compliance and protecting clients in 2025.
SEC Staff Provides Crucial Disclosure Guidance for Crypto Asset Offerings and Registrations
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The SEC’s Game-Changing Update: Simplifying SEC Rule 506(c) for Capital Raisers
Discover how the SEC's recent update on Rule 506(c) revolutionizes capital raising for issuers. Learn about new verification methods, reduced compliance burdens, and strategies to leverage this game-changing regulation for your fundraising success.
Regulatory Landscape for AI-Driven Securities Promotion
Discover the regulatory landscape for AI-driven securities promotion, focusing on compliance for broker-dealers. Explore key considerations, including communications, supervision, vendor management, and record keeping to navigate the evolving financial sector effectively.
The SEC Bows Out: No Appeal on Private Fund Advisers Rule Ruling
In a surprising decision, the SEC will not appeal the Fifth Circuit Court's ruling vacating the Private Fund Advisers Rule. Explore the implications for private fund regulation, investor protections, and the future of the investment landscape in our analysis.
Texas Federal Courts Strike Down DOL’s Retirement Security Rule: What You Need to Know
Discover how the Texas Federal Courts' recent ruling against the DOL's Retirement Security Rule impacts retirement planning and fiduciary responsibilities.
SEC’s Transformative Amendments to Forms N-Port and N-CEN: A Boost for Transparency and Liquidity Management
Discover how the SEC's amendments to Forms N-PORT and N-CEN enhance transparency and liquidity management in the investment industry.
SEC’s Latest Amendments to Regulation NMS: Navigating the Future of Equity Markets
Explore the SEC's groundbreaking amendments to Regulation NMS that will transform equity markets.
SEC Cracks Down: Nine Investment Advisers Charged for Marketing Rule Violations
The SEC has charged nine investment advisers with violating the Marketing Rule by using misleading advertisements.
SEC Cracks Down on Investment Advisers: Violating Whistle blower Protections
The SEC has taken action against three investment advisers for violating whistle blower protection rules, highlighting the importance of transparency and accountability in the finance sector.
SEC Adopts EDGAR Next: Enhancing Security and Streamlining Filings
The SEC's recent amendments to the EDGAR system usher in a new era of security and efficiency for financial filings. Discover how individualized user credentials, a new dashboard, and API integration will enhance your filing experience.
FINRA’s Proposed Rule Change: A New Era for Residential Supervisory Locations
Explore FINRA's proposed rule change for Residential Supervisory Locations (RSLs) that simplifies reporting and enhances compliance for firms. Learn how these changes adapt to remote work trends and what firms need to do to prepare.
Expert Tips for Maintaining SEC Compliance: Why Outsourcing to Industry Veterans is Key
Discover how outsourcing your SEC compliance to experts with extensive SEC, legal and regulatory experience can help your RIA stay compliant and focused on client success. Explore the benefits of our fractionalized Chief Compliance Officers and/or Chief Legal Officer services.
Top 5 Compliance Challenges Faced by RIAs in 2024: Navigating SEC Regulations
Discover the top 5 compliance challenges Registered Investment Advisers (RIAs) face in 2024, focusing on SEC regulations, updates, and amendments. Stay ahead with expert insights on maintaining compliance.
Navigating the SEC Marketing Rule: Your Comprehensive Guide to Compliance
Discover how to navigate the SEC Marketing Rule and enhance your compliance through expert partnership with LawVisory. Gain insights from SEC Risk Alerts and elevate your marketing strategy.
Understanding SEC Investment Adviser Registration Requirements: A Comprehensive Guide
Explore the SEC investment adviser registration requirements, exceptions, compliance best practices, and tips for success in understanding this critical aspect of financial advisory.
Navigating the SEC Marketing Rule: Your Comprehensive Guide to Compliance
Discover how to navigate the SEC Marketing Rule and enhance your compliance through expert partnership with LawVisory. Gain insights from SEC Risk Alerts and elevate your marketing strategy.
Understanding the DOL’s Final Rule
Understanding the DOL's Final Rule, which modernizes fiduciary definitions, expands accountability, and enhances investor protections in retirement planning.
Making Capital Raising Easier, Quicker, and Safer with Comprehensive Assistance
Transform your capital-raising experience with comprehensive preparation and filing assistance from LawVisory. Our expert guidance simplifies the complex regulatory landscape, expedites the fundraising process, and ensures compliance, helping you secure the necessary funds for your business growth efficiently and safely.
Simplifying SEC Compliance: How LawVisory Helps You Avoid Non-Compliance
Streamline your capital-raising journey with LawVisory's expert SEC compliance services. Learn how personalized support, tailored strategies, and comprehensive guidance can help you navigate complex regulations while avoiding the pitfalls of non-compliance.
The Importance of Legal and Compliance in Raising Capital
Streamline your capital-raising journey with LawVisory's expert SEC compliance services. Learn how personalized support, tailored strategies, and comprehensive guidance can help you navigate complex regulations while avoiding the pitfalls of non-compliance.
Breaking Barriers: SEC Proposes to Update Qualifying Venture Capital Fund Definition
Discover how the SEC's proposed rule to update the definition of "qualifying venture capital funds" aims to foster innovation and growth within the venture capital landscape.
Uncovering the Hidden Costs of Compliance Failures: SEC Cracks Down on Recordkeeping Violations
Discover how the SEC's crackdown on recordkeeping violations by broker-dealers and investment advisers highlights the hidden costs of compliance failures. Explore the consequences of "off-channel communications" and the SEC's renewed commitment to strengthening transparency and accountability in the financial industry.
Unleashing Transparency: SEC’s Landmark Form PF Amendments
Explore the SEC's significant amendments to Form PF, the pivotal reporting framework for private fund advisers. Discover the enhanced transparency, heightened reporting requirements, and strengthened regulatory oversight aimed at protecting investors and mitigating systemic risks.
Navigating the SPAC Landscape: SEC Enhances Investor Protections
Explore the SEC's groundbreaking new rules and amendments aimed at bolstering investor protections in the SPAC and shell company transaction landscape. Discover the enhanced disclosure requirements, alignment with traditional IPOs, and measures to address conflicts of interest.
Whistleblower Protection: The Achilles’ Heel of Wall Street Giants
Uncover the compliance misstep of JP Morgan Securities LLC, as the SEC reveals its systematic violation of whistleblower protection rules. This cautionary tale highlights the urgent need for the financial industry to strengthen compliance practices and foster a culture of ethical conduct.
Uncovering the Risks: A Deep Dive into Security-Based Swap Dealer Compliance
Uncover the widespread security-based swap dealer compliance issues revealed in a recent SEC Risk Alert, including reporting inaccuracies, business conduct shortcomings, and recordkeeping lapses. Gain insights to strengthen your compliance practices.
The Future of Work: FTC Bans Non-Compete Clauses
In a groundbreaking move, the Federal Trade Commission (FTC) has issued a final rule that comprehensively prohibits the use of non-compete clauses in agreements between employers and workers. This landmark decision, set to take effect on September 4, 2024, is poised to reshape the employment landscape across the United States.
Navigating the FTC’s Final Rule Banning Non-Compete Clauses
Delve into the implications of the FTC's Final Rule banning non-compete clauses with this comprehensive article. Explore the prohibitions, exceptions, ongoing legal challenges, employer considerations, and key takeaways. LawVisory offers alternative strategies to ensure compliance with the new law.
Signs You Need a Compliance Review and What to Expect
Discover the signs that indicate your firm needs a compliance review and explore what to expect from the process. Learn why regular compliance reviews are essential for RIAs to ensure regulatory adherence, mitigate risks, and maintain operational efficiency.
Why SEC Compliance is Critical for Registered Investment Advisers
Learn why SEC compliance is crucial for Registered Investment Advisers (RIAs). Explore the importance of adherence to SEC regulations for investor protection, trust, legal responsibility, and competitive advantage. Discover the ramifications of non-compliance and the significance of regular compliance reviews for maintaining operational efficiency and building a culture of compliance.
Understanding the Latest Amendments to Rule 2a-7 for Money Market Funds
Explore the latest amendments to Rule 2a-7 impacting money market funds and registered investment advisers. Learn about increased liquidity standards, removal of redemption restrictions, mandatory liquidity fees, reverse distribution mechanisms, and enhanced reporting requirements.
Strengthening Cybersecurity Disclosure: SEC’s New Regulations Explained
Delve into the SEC's new regulations on cybersecurity disclosure, impacting businesses and registered investment advisers. Explore enhanced cybersecurity disclosures, risk management strategies, governance requirements, reporting material incidents, and obligations for foreign private issuers.