IA Rules & Regulatory Actions

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...

Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...

This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule

(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...

A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...

This is the DOE's 2023 exam priorities

"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"

"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...

This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities