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IA Rules & Regulatory Actions

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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 ...
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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 ...
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This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule
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(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 ...
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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
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"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 ...
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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"
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"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...
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This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities
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