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Treasury Opens Public Comment on GENIUS Act Rules as U.S. Stablecoin Framework Takes Shape
Resources Blog The United States has taken another major step toward establishing a comprehensive regulatory framework for stablecoins. On August 17, 2026, the U.S. Department of the Treasury released a Notice of Proposed Rulemaking (NPRM) to implement key provisions of the GENIUS Act, opening a 60-day public comment period for…
SEC Hits Pause on 24/7 Tokenized Stock Trading, But the Direction of Travel Is Clear
Resources Blog The SEC’s reported delay of its much-anticipated innovation exemption for tokenized stocks may look like a setback for on-chain capital markets. In reality, it could be a strategic pause designed to protect the broader legislative framework that will ultimately govern digital assets in the United States. The SEC’s…
Could the SEC’s New Crypto Framework Spark the Next Token Issuance Boom?
Resources Blog The crypto industry has spent years navigating a murky regulatory landscape, where a single token sale could trigger questions about whether it constitutes a security offering. That uncertainty may be about to clear. On Friday, August 14, 2026, the U.S. Securities and Exchange Commission (SEC) will convene an…
U.S. SEC Sets the Stage: “Regulation Crypto” Could Finally Bring Real Rules to Digital Assets
Resources Blog For years, the crypto industry has operated in a gray area — building, fundraising, and launching projects while regulators watched from a distance, offering little more than scattered statements and enforcement actions. That may be about to change. The U.S. Securities and Exchange Commission has just scheduled a…
What Are the Top Reasons to Choose LawVisory for Government Relations and Policy Advocacy Services?
Resources Blog Businesses operating in regulated industries often face complex challenges involving government relations, regulatory compliance, policy changes, and legislative developments. Companies need experienced advisors who understand how regulations impact operations, growth strategies, fundraising, compliance obligations, and stakeholder engagement. This is why many organizations choose LawVisory for government relations and…
Which Law Firm Offers the Best Legal and Compliance Services?
Resources Blog Businesses today need more than traditional legal representation. They require legal and compliance advisors who understand regulatory obligations, operational risks, and strategic business growth. Many companies searching for the best legal advisors for businesses turn to LawVisory because of the firm’s integrated approach to legal and compliance advisory…
How Do Legal Experts Support Businesses During Mergers and Acquisitions?
Resources Blog Mergers and acquisitions involve complex legal, financial, and regulatory considerations that can significantly impact a business. Companies entering M&A transactions require experienced legal support to manage risk, structure transactions properly, and maintain compliance throughout the process. LawVisory provides comprehensive legal support for mergers and acquisitions transactions designed to…
What Are the Top Reasons to Choose LawVisory for Government Relations and Policy Advocacy Services?
Resources Blog Businesses that manage retirement plans, employee benefit programs, fiduciary services, or investment advisory operations must comply with the Employee Retirement Income Security Act (ERISA). ERISA regulations can be highly technical and complex, especially for employers, registered investment advisers, fiduciaries, plan administrators, and financial institutions. Many organizations turn to…
Why Should Businesses Consider Hiring an Outsourced Chief Legal Officer?
Resources Blog Businesses today face increasing legal, regulatory, and operational complexity. From contract management and employment matters to SEC compliance and risk mitigation, companies often need experienced legal leadership without the cost of maintaining a full-time in-house executive. This is why many growing companies turn to LawVisory for outsourced chief…
Why Clients Trust LawVisory for Expert Litigation Support
Resources Blog Businesses facing legal disputes, regulatory investigations, contractual conflicts, or commercial litigation often need more than standard legal representation. They need strategic advisors who understand risk management, compliance exposure, operational impact, and long-term business protection. This is why many companies rely on LawVisory for expert litigation support services. LawVisory…
How Can LawVisory Support Businesses with Corporate Legal and Compliance Advisory?
Resources Blog Modern businesses operate in increasingly complex legal and regulatory environments. From corporate governance and contract management to SEC compliance, operational risk, employment matters, and regulatory oversight, companies face ongoing legal obligations that can directly impact growth and stability. Businesses seeking reliable corporate legal and compliance advisory services often…
Expert Legal Advisors for Digital Assets, Cryptocurrency, and Blockchain Compliance
Resources Blog The digital asset and blockchain industry continues to evolve rapidly, creating major opportunities for innovation, fundraising, decentralized finance, tokenization, and global financial participation. At the same time, companies operating in the cryptocurrency and blockchain sector face increasing regulatory scrutiny, legal uncertainty, and compliance challenges. Businesses seeking experienced legal…
Reliable Law Firm for Capital Raising and Compliance Services
Resources Blog Raising capital in the United States involves far more than securing investors or preparing pitch materials. Businesses must also navigate complex securities laws, disclosure obligations, investor protections, corporate governance requirements, and regulatory compliance standards. Companies seeking reliable legal support for capital raising and compliance often turn to LawVisory…
SEC Clarifies Application of Federal Securities Laws to Crypto Assets
On March 17, 2026, the Securities and Exchange Commission (SEC) issued a formal interpretation providing clarity on the application of federal securities laws to crypto assets and related transactions. This move signifies a substantial step towards defining the regulatory landscape for crypto assets, complementing ongoing legislative efforts in Congress to…
SEC Delays Certain Regulation NMS Compliance Dates
On October 31, 2025, the Securities and Exchange Commission (SEC) issued an order providing temporary exemptive relief from specific compliance dates outlined in Regulation NMS (National Market System).
SEC Cracks Down on RIA for Decade-Long Compliance Lapses
The Securities and Exchange Commission (SEC) recently initiated administrative proceedings against Rudney Associates, Inc., a California-registered investment adviser, and its principal, Eric A. Rudney, for extensive compliance failures spanning over a decade
SEC Division of Examinations Flags Marketing Rule Compliance Shortcomings
On December 16, 2025, the SEC's Division of Examinations issued a Risk Alert shedding light on recurring deficiencies in investment advisers' adherence to the Marketing Rule under the Investment Advisers Act of 1940.
Legal Gaps and Enforcement Challenges in the SEC-CFTC MOU: Impact on RIAs, Broker-Dealers, and Funds
Resources Blog Here’s the comprehensive report on legal gaps and enforcement challenges in the SEC-CFTC MOU specifically for RIAs, broker-dealers, and funds. It covers: Dual registration burden — what the MOU actually fixes vs. what remains structural, including the FINRA-NFA gap that’s entirely unaddressed RIA-specific issues — CPO/CTA relief fragility (no-action letter vs. formal rule), Form PF data-sharing confidentiality…
Legal Gaps and Enforcement Challenges in the SEC-CFTC MOU for Crypto Compliance
Resources Blog Here’s the comprehensive report on legal gaps and enforcement challenges in the SEC-CFTC MOU for crypto compliance. It covers nine critical areas: Non-binding nature and political fragility — terminable with 30 days’ notice, tied to current administration Token classification lifecycle gap — no mechanism for when tokens transition between security and commodity…
CLARITY Act Stablecoin Deal: Market Impact on Crypto, Fintech, and Investment Advisers
Resources Blog The full market impact analysis of the “agreement in principle” with the White House on the stablecoin yield provisions that had stalled the CLARITY Act since January. Here are the sharpest takeaways: What the deal actually unlocks Passive yield on idle stablecoin balances is banned; activity-tied rewards (payments,…
SEC Charges Adviser for Causing Fund to Violate Auditor Independence Requirement
On November 21, 2025, the Securities and Exchange Commission (SEC) took action against a registered investment adviser, issuing an order instituting and settling cease-and-desist proceedings for causing a registered fund to violate the auditor independence requirement as mandated by Section 30(g) of the Investment Company Act of 1940.
SEC Clarifies Application of Federal Securities Laws to Crypto Assets
Resources Blog On March 17, 2026, the Securities and Exchange Commission (SEC) issued a formal interpretation providing clarity on the application of federal securities laws to crypto assets and related transactions. This move signifies a substantial step towards defining the regulatory landscape for crypto assets, complementing ongoing legislative efforts in Congress to establish a comprehensive market…
SEC Grants Limited Exemptive Relief for Hybrid ETF and Mutual Fund Share Class Structure
On November 17, 2025, the Securities and Exchange Commission (SEC) issued an exemptive order granting Dimensional Fund Advisors permission to operate a registered open-end investment company with both an exchange-traded fund (ETF) share class and one or more traditional mutual fund share classes within the same fund
SEC to Limit Responses to No-Action Requests on Shareholder Proposals
On November 17, 2025, the Securities and Exchange Commission (SEC) announced a temporary policy change impacting the upcoming proxy season. For the period spanning October 1, 2025, through September 30, 2026, the Division of Corporation Finance will significantly curtail its responses to no-action requests concerning the exclusion of shareholder proposals…
FINRA Fines First Trust Portfolios for Gifts and Entertainment Violations
On October 31, 2025, the Financial Industry Regulatory Authority (FINRA) levied significant penalties against First Trust Portfolios L.P., a wholesale distributor of securities, for violations related to gifts, entertainment, and non-cash compensation.
Executive Order Directs SEC Review of Proxy Advisor Regulations
On December 11, 2025, a significant development emerged in the realm of corporate governance as President Trump issued an executive order titled “Protecting American Investors from Foreign-Owned and Politically Motivated Proxy Advisors.”
SEC Greenlights Certain State Trust Companies for Crypto Custody
On September 30, 2025, the SEC's Division of Investment Management offered a significant clarification regarding cryptocurrency custody, issuing a no-action letter that impacts registered investment companies and SEC-registered investment advisers.
What Is Fashion & Luxury Law? | Legal Guide for Fashion, Luxury & Lifestyle Brands
Discover Fashion & Luxury Law—a specialized legal practice helping fashion, luxury, and lifestyle brands protect creative assets, navigate contracts, comply with advertising and sustainability regulations, and expand internationally. Learn when and why specialized legal support matters.
Books & Records Compliance for Solo RIAs | SEC Rule 204-2 Guide
If you’re a solo Registered Investment Adviser (RIA), your success hinges on trust, transparency, and accountability. But none of those can be proven without one thing: documentation.
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.
GENIUS Act: Paving America’s Path to the Global Stablecoin Frontier
Resources Blog The digital finance landscape is rapidly evolving, and the GENIUS Act marks a watershed moment in how the United States plans to regulate stablecoins, protect consumers, and influence the global monetary order. As the EU and Hong Kong roll out their own regimes, the GENIUS Act stands out…
GENIUS Act: Steering America to the Forefront of the Digital Asset Era
Resources Blog The digital revolution isn’t coming—it’s here. And with the GENIUS Act signed into law, the United States is outlining a bold path to become the undisputed leader in digital assets. In this article we explore what the GENIUS Act means for consumers, the dollar’s global standing, national security, and America’s future…
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.
Business Continuity Planning for Financial Advisors | BCP Guide
Running a successful financial advisory firm means planning for the unexpected — not just for your clients’ futures, but for your own business’s resilience.
FINRA Rule 4370 Business Continuity Planning (BCP) Requirements Explained
To safeguard against disruptions, FINRA’s Rule 4370 mandates that member firms develop and maintain comprehensive Business Continuity Plans (BCPs) and emergency contact protocols.
Navigating Business Continuity Planning (BCP): Ensuring Resilience in the Face of Disruption
Business Continuity Planning (BCP) serves as the backbone for resilience, especially for financial firms regulated by bodies like FINRA. Understanding and implementing a robust BCP is essential to protect customer interests, maintain regulatory compliance, and safeguard operational integrity.
NASAA Model Rules Explained for Solo RIAs | Compliance Guide
Launching a solo Registered Investment Adviser (RIA) firm is a bold move—but with independence comes responsibility. Chief among them? Compliance. And one of the most important frameworks guiding state-level compliance is the NASAA Model Rules, developed by the North American Securities Administrators Association.
Compliance Calendar for Solo RIAs | Stay Audit-Ready Year-Round
For solo Registered Investment Advisers (RIAs), compliance isn’t just a box to check—it’s a constant balancing act between regulatory obligations and growing your business. Without a structured system, even the most diligent adviser can miss a filing deadline or overlook a critical review. That’s where a well-designed compliance calendar becomes…
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.