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    • NASAA NEWS AND SPEECHES—NASAA urges SEC to withdraw proposed crypto exemptions
    • ENFORCEMENT—Adviser censured for custody, identity theft failures
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    Securities Regulation Daily Wrap Up, ENFORCEMENT—Adviser censured for custody, identity theft failures, (Oct 27, 2026)

    Organizations Mentioned:TAG Associates LLC

    By Anne Sherry, J.D.

    The adviser to high-net-worth individuals and private funds failed to comply with Custody Rule and identity-theft requirements.

    The SEC instituted settled proceedings censuring TAG Associates LLC and is imposing a $175,000 civil penalty for Custody Ru ...

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