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A Valerie Mirko walks us through the RIA and BD year in review
Mirko also touched on public company and crypto matters, saying the agencies will still focus on investor harm but emphasize useful disclosure, welcoming innovation and bolstering the private markets.
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Sixth SEC crypto roundtable addresses surveillance and privacy tech
Statements by SEC commissioners indicated that maintaining privacy in financial affairs is a critical agency goal, and that individuals should be free to use privacy tools without triggering heightened scrutiny.
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Inside the SEC’s closing debate of 2025
The SEC’s final Investor Advisory Committee meeting of the year offered an unusually clear window into the philosophical divides shaping American securities regulation.
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SEC steps back from proxy reviews as pressure mounts on activist voting
Regulator cites resource and timing considerations as reason for change.
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SEC’s off-channel comms crackdown eases, compliance professionals say
A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.
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SEC refines digital asset approach with Project Crypto
US SEC’s Paul Atkins lays out a cryptocurrency taxonomy framework.
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SEC crypto custody relief provides much-needed clarity
For firms balancing innovation with fiduciary duty, this is a timely opportunity to strengthen custody oversight, re-evaluate service providers, and prepare for future regulatory developments.
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The longest pause – how the SEC shutdown is testing compliance resilience
Compliance structures built over decades are coming under pressure as the federal shutdown enters its second month.