In early April 2025, acting U.S. Securities and Exchange (SEC) Commissioner Mark T. Uyeda raised the possibility of increasing the asset threshold required for investment advisor registration with the SEC. [...]
How the SEC’s New Marketing Rule Will Affect Your RIA Firm In December 2020, the U.S. Securities and Exchange Commission (SEC) approved an amendment to Rule 206(4)-1 and [...]
SEC Extends Form ADV Filing Deadline to RIAs Amid COVID-19 Outbreak The U.S. Securities and Exchange Commission (SEC) has extended the Form ADV filing deadline for registered investment advisers ("RIAs") [...]
