Back Video Ten Minute Interview: SEC Enforcement for Family Offices May 7, 2024 Share on LinkedInShare on TwitterPrintShare by EmailShare Back to top Brian Lucareli, director of Foley Private Client Services (PCS) and co-chair of Foley’s Family Offices group, sits down with Bryan House, partner and member of our Securities Enforcement & Litigation group, for a 10-minute interview to discuss SEC enforcement for family offices. During the interview, Bryan explained who is subject to the Investment Advisers Act, and provided a real-life example of the SEC getting involved with a family office. Author(s) Brian L. Lucareli [email protected] Milwaukee 414.297.4950 Bryan B. House [email protected] Milwaukee 414.297.5554 Related Insights View All Posts December 17, 2025 Foley Viewpoints SEC and FINRA Increase Oversight of Cross-Border Small-Cap Offerings Executive Summary In late 2025, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)… December 17, 2025 Foley Viewpoints Amended Regulation S-P: Here to Stay and Being Examined in 2026 Last month, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its Fiscal Year 2026 “Examination… December 17, 2025 Foley Viewpoints It’s a Wonderful Hypo: What if the Bailey Bros. Building & Loan Was a SEC Registered Investment Adviser? In the 1946 film “It’s a Wonderful Life,” George Bailey is despondent after a series of mishaps — including his family member and…
