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IA Rules & Regulatory Actions

The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...
Headshot of Rick Fleming
Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS
Springer concealed from prospective clients his prior disciplinary history with the SEC
These rules cover reconciling outstanding security-based swaps with applicable counterparties on a periodic basis
The SEC is enhancing the effectiveness and the efficiency of security-based swap rules in the cross-border context
This letter extends that no-action relief until the date that a PCAOB-adopted permanent program begins
Kornitzer repeated failed to follow client instructions to reduce high concentrations in securities of a single company
SEC proposes changing the advertising rule for the first time in decades
BCP can file Form N-23C-2 on the same business day as the Company’s redemption of an entire class or series of its preferred shares
Burroughs "misappropriated his clients’ money, and provided his clients with fake documents to cover up what he had done"
Proxy Voting
The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation
Four FAQs make up the SEC's first on the new form
Goulding "used Nutmeg as his personal piggybank"
Defendants used the money to make Ponzi-like payments to investors and to fund Merrill's and Ledford's extravagant lifestyles
Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...
Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits
MS sold customers more expensive share classes when less expensive share classes were available

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