The Fourth Quarter of 2025 delivered meaningful regulatory changes for SEC Registered Investment Advisers and broker-dealers. Crypto custody relief for state trust companies, delayed Regulation NMS amendments, FINRA enforcement around gifts and entertainment, Form ADV misstatement penalties, hybrid ETF share class approvals, Marketing Rule risk alerts, auditor independence sanctions, and evolving proxy advisor oversight all signal continued regulatory focus on disclosure accuracy, governance, an
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The Fourth Quarter of 2025 delivered meaningful regulatory c…
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