Grewal oversaw more than 2,400 enforcement actions resulting in orders for more than $20 billion in disgorgement and penalties
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list
Given that you must use EDGAR to file your electronic 13F, seek to 'identify the technicalities that can cause a filing to fail, such as ...
The SEC’s settlement suggests one compliance action you could consider
SEC enforcement actions demonstrate how seriously the Commission takes barriers to the reporting of information to the agency
Commissioners Peirce and Uyeda question unnecessary redactions of final award determinations in the name of whistleblower confidentiality
These are our top stories for the month
Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...
It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...
Williams, the firm’s CEO/CCO, 'failed to provide the Commission with evidence to corroborate' the Form ADV filing claiming trillions in AUM