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Expert Analysis

Liquidity Rule Compliance Still Vital Even After SEC Dismissal

By Adam Aderton, Meaghan Kelly and Andrew Ward ( August 15, 2025, 3:49 PM EDT) -- On July 11, the U.S. Securities and Exchange Commission announced that it had filed a joint stipulation with defendants Pinnacle Advisors LLC, a registered investment adviser to a mutual fund; two of Pinnacle's officers; and the mutual fund's two independent trustees to dismiss with prejudice the SEC's first-ever case seeking to enforce the liquidity rule.[1] The SEC's case against Pinnacle was initially filed in 2023 under a commission led by former Chair Gary Gensler.[2]...

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