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Disclosures (159)
Your search for Disclosures returned 159 results.
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12/21/2018 | Content area: Investment Adviser
Timbervest and the Division recognize that, according to Lucia v. SEC, 138 S. Ct. 2044 (2018), Timbervest would be entitled to a “new hearing” before ...
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
Respondents mischaracterized the Fund as being “hedged,” when in fact the use of these new kinds of derivatives added risk. Respondents’ description o...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
12/13/2018 | Content area: Investment Adviser
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Lan...
12/13/2018 | Content area: Investment Adviser
Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, fa...
12/13/2018 | Content area: Private Fund
This matter arises from Yucaipa’s negligent failure to disclose several financial conflicts of interest to the funds, as well as Yucaipa’s misallocati...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
11/30/2018 | Content area: Investment Adviser
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Co...
11/15/2018 | Content area: Investment Adviser
Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year legal batt...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/12/2018 | Content area: Investment Adviser
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gathe...
11/06/2018 | Content area: Broker-Dealer
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets th...
11/05/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under th...
11/02/2018 | Content area: Investment Adviser
Our financial reporting and corporate disclosure system is essential to well-functioning markets, which are, in turn, essential to the ongoing provisi...
11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
10/31/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing rule and form amendments that are intended to help investors make informed investment decisions re...
10/25/2018 | Content area: Private Fund
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that kil...
10/23/2018 | Content area: Investment Adviser
is clear that, during the past decade, managers of U.S. companies are communicating more information about how they run their companies, perhaps in a...


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