Regulatory Updates Fourth Quarter 2025 for SEC Registered Investment Advisers
- Resources
- News & Regulatory Updates
A concise overview of key SEC, FINRA, and federal regulatory developments affecting investment advisers and broker‑dealers.
Stay ahead of fast‑moving SEC, FINRA, and federal regulatory changes. From crypto‑custody relief and delayed market‑structure rules to new enforcement actions, marketing‑rule risks, and evolving proxy‑advisor oversight — here’s what advisers and broker‑dealers need to know now.
Covered in this edition:
1. Crypto Custody Relief for State Trust Companies
2. Delayed Compliance Dates for Regulation NMS Amendments
3. FINRA Fines Distributor for Gifts & Entertainment Violations
4. SEC Enforcement Actions for Form ADV Misstatements
5. SEC Will Not Respond to Most Shareholder‑Proposal No‑Action Requests
6. SEC Approves Hybrid ETF–Mutual Fund Share Class Structure
7. Adviser Sanctioned for Auditor Independence Violation
8. Long‑Standing Adviser Compliance Failures Lead to Penalties
9. SEC Releases New Risk Alert on Marketing Rule Compliance
10. Executive Order Targeting Proxy Advisor Oversight
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