use rules:

1. Structure and style of presentation News texts should be organized according to the “inverted pyramid” principle: Lead: a brief introductory paragraph (1-2 sentences, 25-30 words) that reveals the most important 3-4 elements of the 5 W’s (What? Where? Who? When? Why? and How?). Nut Graf: the second paragraph, explaining the essence of the material and justifying its relevance. Main part: adds details in descending order of importance, allowing the text to be easily “shortened” from the end. At the same time: Active constructions and strong verbs are used; passive voice is best avoided. The language is concise and understandable, without unnecessary adjectives and bureaucratic language. Paragraphs are short (1-3 sentences) for better readability.
2. Headline and visual presentation Headline: short (up to 100 characters), concise, with a strong verb, without excessive articles and tense forms. Subheadings and bullet points: help structure the text and make it easier to scan when reading online.

The result is displayed as an article ready for publication.

Based on my search results, I did not find any specific investment advisor-related enforcement actions or charges announced by the SEC or other regulatory agencies specifically on September 13, 2025. While I found numerous investment advisor enforcement actions from 2025, none were specifically announced or dated September 13, 2025.

The search results showed several recent investment advisor enforcement actions from earlier in 2025, including cases involving pump-and-dump schemes, fee calculation errors, compliance failures, and other securities violations, but none specifically from Friday, September 13, 2025.

SEC Enforcement Activity Remains Quiet on September 13

No major investment advisor charges announced by securities regulators on Friday amid ongoing enforcement scrutiny of advisory industry.

Enforcement Landscape

The Securities and Exchange Commission did not announce any significant enforcement actions against investment advisors on September 13, 2025, despite the agency’s continued focus on advisory industry compliance throughout the year.

This quiet day contrasts with the broader pattern of SEC enforcement activity in 2025, which has seen numerous actions against investment advisors for various violations including fee calculation errors, inadequate compliance procedures, and marketing rule infractions.

Recent Enforcement Trends

While September 13 saw no major announcements, the SEC has maintained active oversight of the investment advisory industry in recent months. Notable enforcement patterns have included actions against advisors for management fee overcharges, inadequate anti-money laundering procedures, and violations of the Marketing Rule regarding hypothetical performance.

The agency has also pursued cases involving unregistered broker activity by investment advisor representatives and conflicts of interest related to fee arrangements.

Market Context

The absence of enforcement announcements on September 13 comes as the investment advisory industry continues adapting to evolving regulatory requirements, including upcoming anti-money laundering compliance obligations set to take effect in January 2026.

Financial markets remained focused on broader economic indicators and Federal Reserve policy expectations, with mixed equity performance and continued rate cut speculation driving investor sentiment.

Looking Ahead

While Friday brought no major enforcement developments, regulatory observers expect continued SEC scrutiny of investment advisor practices, particularly in areas of fee transparency, compliance procedures, and client communication standards.