News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

SEC Updates Marketing Rule FAQ

On March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.

SEC Charges Officers at Private Fund Manager for Misuse of Fund and Portfolio Company Assets

On March 7, 2025, the Securities and Exchange Commission (“SEC”) announced settled charges against a registered investment adviser, its former managing partner, and its former chief operating officer for misappropriation of private fund and portfolio company assets.

CTA Beneficial Ownership Reporting Delayed, and Treasury Department Suspends Enforcement for U.S. Reporting Companies

After several preliminary injunctions were lifted it appeared that the CTA and its required reporting of beneficial ownership information were back on. In the announcement, FinCEN granted an additional 30-day extension to the reporting deadline, placing the new deadline on March 21, 2025.

The SEC’s Crypto Task Force, Its Priorities, and an Invitation to Engage

On February 4, 2025, SEC Commissioner Hester M. Peirce issued a statement on the future of the Crypto Task Force. The Task Force’s approach starts with engagement with the crypto industry and the public to provide regulatory clarity, while simultaneously disentangling the many threads of active litigation surrounding crypto.

Form SHO Deadline Pushed Back to 2026

The SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026

Extension of Amended Form PF Compliance Date to June 2025

The Securities and Exchange Commission (“SEC”) jointly with the Commodity Futures Trading Commission (“CFTC”), has extended the compliance date for the amendments to Form PF that were adopted on February 8, 2024. The original compliance date fell on March 12, 2025, and is now extended to June 12, 2025.

More Court Ordered Whiplash on Beneficial Ownership Information Filings under the Corporate Transparency Act

On January 23, 2025, the U.S. Supreme Court granted the government’s motion to stay the nationwide preliminary injunction issued by a Texas district court in Texas Top Cop Shop, Inc. This would mean that the reporting of Beneficial Ownership Information under the Corporate Transparency Act (CTA) is back on.

IAR Continuing Education Requirements: What Does Your CE Status Mean?

What happened? Individuals registered as Independent Adviser Representatives (“IARs”) may be required to complete annual […]

2025 Compliance Program Checklist

There are a number of compliance deadlines that are already set for 2025. Similarly, the 2025 Exam Priorities published by the Division of Examinations and published observations from the commission will continue to be a guide for effective compliance programs. Start your year off on the right foot with our 2025 Compliance Program Checklist.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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