Category Archives: Blog
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]
Valuation of Private Credit: Madison Funding Enforcement
On February 25, the SEC fined Madison Funding, a Chicago-based private fund manager, $900,000 for violations related to the valuation of [...]
FINRA Increases Gift Limit
By: Matt Calabro In a significant and long-awaited update, on February 27, 2026, FINRA adopted amendments to Rule 3220 [...]
SEC Compliance Outreach Offers Guidance for Smaller Firms
By: E.J Yerzak If you missed the SEC’s January Compliance Outreach on Regulation S-P, now is the [...]
The Salus GRC Brief | February 2026
February’s regulatory landscape reflects a clear theme: modernization without deregulation. The SEC continues to signal [...]
SEC Appoints Keith Cassidy as Director of Division of Examinations
On January 20, the SEC appointed Keith E. Cassidy as Director of its Division of Examinations (EXAMS). Cassidy had served [...]
SEC’s Daly to Investment Industry: Come Talk to Us About AI
On February 3, SEC Division of Investment Management Director Brian Daly delivered a notable speech [...]
SEC Clarifies Tokenized Securities
By: Gena Dirani On January 28, 2026, staff from the SEC’s Divisions of Corporation Finance, [...]
Custody Unlocked: Key Takeaways from Salus GRC January Webinar
On January 27, Salus GRC hosted Custody Unlocked, a webinar bringing together two nationally recognized custody [...]
California Reporting for Venture Capital Firms
Private fund managers and their underlying funds that invest in the venture capital space may be [...]