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ADV, Annual updating amendment, SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
January 1, 2026
Upcoming 2026 Form ADV Annual Updating Amendment
Samantha Bonamassa
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November 1, 2025
Impacts of the Government Shutdown on SEC
Samantha Bonamassa
Data Visualization, Tools for Capital Markets, statistics and data visualization page, SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
September 1, 2025
New SEC Statistics and Data Visualization Page
Samantha Bonamassa
SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties, FINRA, Multi-factor, duo, push key, security key, duo mobile passcode, duo verified push, Finra gateway, MFA
July 1, 2025
Changes to FINRA Multi-Factor Authentication
Samantha Bonamassa
SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties, 2024 sec enforcements
May 1, 2025
SEC 2024 Enforcements
Samantha Bonamassa
SEC exam, exam priorities, broker dealers, investment advisers, form CRS, regulation best interest, regulatory exam assistance, mock SEC examinations, annual compliance program reviews, policies and procedures, anti-money laundering, and expenses, fee management
March 1, 2025
SEC-Required Annual Compliance Program Reviews: What Investment Advisers Need to Know
Samantha Bonamassa
Investment adviser, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, part 3 form CRS
January 1, 2025
Upcoming Form ADV Annual Updating Amendment
Samantha Bonamassa
SEC Chair stepdown, gary gensler, SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
December 1, 2024
SEC Chair Stepdown
Samantha Bonamassa
SEC exam priorities, SEC division of examinations, SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties,
November 1, 2024
SEC Examination Priorities 2025
Samantha Bonamassa
Compliance outreach program, virtual seminar, compliance seminar, national seminar on compliance, marketing rule, information security and resiliency SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
October 1, 2024
SEC to Hold Virtual National Compliance Seminar
Samantha Bonamassa
empowered compliance officer, senior managementSEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties,
September 1, 2024
Strengthen Compliance by Elevating the Role of Your CCO
Samantha Bonamassa
SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, compliance policies and procedures, due diligence, RIA due diligence, due diligence for RIAs, expert witness, expert witness for securities, securities and compliance expert witness, compliance expert witness, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties, outsource compliance, compliance trainings, SEC required annual review, compliance officer services, CCO services, mock SEC exams, regulatory exam assistance, SEC registration services, anti-money laundering programs, AML programs
August 1, 2024
What Compliance Services Can You Outsource?
Samantha Bonamassa
SEC exam, mock SEC exam, SEC exam priorities, Regulatory exam, SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
July 1, 2024
The Importance of Mock SEC Examinations
Samantha Bonamassa
FINRA, Entitlement Certification, annual entitlement certifications, FINRA annual requirement, SAA, super account administrator,SEC, RIAs, Private Funds, compliance, coast to coast compliance, independent compliance consultant, compliance program review, annual compliance review, policies, investment advisers, broker dealers, division of enforcement, OCIE, security exchange act of 1943, investment advisers act of 1940, advisers act, New deal, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, FINRA, IARD, regulation best interest, fair valuation rules, procedures, communications, electronic communications, penalties
June 1, 2024
FINRA Entitlement Certifications for 2024
Samantha Bonamassa
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May 1, 2024
Understanding Form ADV Amendments
Samantha Bonamassa
SEC, RIA, Annual Compliance Program Review, FINRA, The Investment Advisers Act, Advisers Act, cybersecurity, policies and procedures, marketing materials, SEC Regulators, SEC Regulations, broker-dealers, investment advisers, private funds, final rules, annual review, compliance review, private equity, hedge fund, venture capital fund, venture capital
April 1, 2024
Conducting A Successful Annual Compliance Program Review
Samantha Bonamassa
SEC exam, exam priorities, broker dealers, investment advisers, form CRS, regulation best interest, regulatory exam assistance, mock SEC examinations, annual compliance program reviews, policies and procedures, anti-money laundering, and expenses, fee management
March 1, 2024
SEC Exam Priorities 2024
Samantha Bonamassa
February 1, 2024
Annual Requirements for Investment Advisers
Samantha Bonamassa
Investment adviser, investment adviser review, SEC registered investment advisers, form adv, IA annual requirements, Form ADV, Form CRS, Annual Updating Amendment, Form ADV Annual Updating Amendment, SEC Requirements, Annual requirements, SEC annual requirements, part 3 form CRS
January 1, 2024
Upcoming Form ADV Annual Updating Amendment
Samantha Bonamassa
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December 1, 2023
SEC Enforcements for Fiscal Year 2023
Samantha Bonamassa
SEC, FINRA, IARD, Investment advisers, renewal, form ADV, annual updating amendment, registered advisers, annual payment, compliance, coast to coast compliance
November 1, 2023
Form ADV Annual Updating Amendment 2024 IARD Renewal
Samantha Bonamassa
SEC, broker dealers, investment advisers, off-channel, recordkeeping, division of enforcement, policies, procedures, communications, electronic communications, penalties, compliance, protocols, fines, imessage, whatsapp, signal, Securities Exchange Act of 1934, Investment Advisers Act of 1940, gurbir grewal, independent compliance consultant
October 1, 2023
SEC Brings Charges Regarding Widespread Recordkeeping Failures
Samantha Bonamassa
the final rules, private fund reform rule, private fund adviser, advisers act, SEC, annual compliance review, compliance, private fund audit rule, gary gensler, private fund reforms
September 1, 2023
SEC Adopts The Private Fund Reform Rule
Samantha Bonamassa
SEC, ESG, RIAs, private funds, new marketing rule, advisers act, SEC examination, cryptoassets, regulation best interest, information security, retail investors, fair valuation rule, compliance, compliance program review, policies, investment company act rule
August 1, 2023
SEC Exam Priorities for 2023
Samantha Bonamassa

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