Regulatory Roundup for January 2025
January 31, 2025
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Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the appointment of the SEC’s acting Chair, Mark Uyeda. Next, we recap the SEC’s report on its aggressive enforcement efforts in the first quarter of 2025. Finally, we discuss a few of the latest SEC settlement orders, including issuers getting fined for failing to file Form D for unregistered offerings, two cases on fiduciary duty fails, and one more “off-channel” communications case that highlights what a firm did right (for once). Enjoy!
