State of the Regulatory Union with Stacy Sizemore (Video)

    by | Apr 28, 2025

    On Thursday, April 24th, Stacy Sizemore hosted April's tru Community Call to share what is new with tru Compliance, to-do's for the rest of the year, plus a deep dive into where things stand at the SEC a few months into the new administration.

    A few quick hits: 

    • In 2024, the tru Compliance team did 9 SEC exams, filed and/or updated 52 ADV's and reviewed 2,853 Marketing Items!
    • SEC Examination Priority Changes (2024 > 2025): ESG Removed, Emerging Tech (e.g. AI) and Crypto Enhanced, Reg S-P Added
    • Notable Enforcement Actions: Crypto, Block Trading, Marketing Rule, Off-Channel Communications
    • Notable Changes to Regulatory Personnel: New SEC Chair, Launch of New Task Forces (Crypto, Cyber & Emerging Technologies), Hiring Freeze/Buy-Outs

     

    Check out the full video here: 

     

    Contact the tru Compliance team if you have any questions! 
    Compliance@tru-ind.com. 

    About the author

    Max Camp, CIMA, Director of Advisor Experience
    Follow me on LinkedIn

    Max Camp serves as the Director of Advisor Experience at tru Independence. In his role he supports the firm's business development, marketing, vendor relationships and ongoing advisor experience offering. Before tru, he spent 2 years at Orion Advisor Solutions as Director of Sales Strategy & Analytics, and before that, 8 years as an Investment Consultant at Brinker Capital Investments. Max attended the University of Delaware. He now calls the suburbs of Philadelphia his home, where he lives with his 1-year old Son and 3-year old Golden Retriever. While getting a well deserved dad day off, you can find Max at a Philadelphia sporting event, on the golf course, or working on his tennis game.

    Topics:  

    Related posts

    tru In the News: Alex Pron on What You May Not Be Hearing About Bitcoin
    LinkedIn Sales Navigator: A Modern Guide for Client Acquisition (Part 2)
    State of the Regulatory Union with Stacy Sizemore (Video)
    LinkedIn Sales Navigator: A Modern Guide for Client Acquisition (Part 1)
    Five Dysfunctions of a Team