A copy of an SEC enforcement sweep exam letter tied to the so called pay-to-play scandal. This letter likely comes from the summer of 2009.
No-Action Letter: Maxim Series Fund, Inc., et al. (July 31, 2009) Investment Company Act of 1940 — Sections 9(a), 13(a), 15(a) and 15(b) Maxim Series ...
No-Action Letter: Straight-A Funding, LLC (July 28, 2009) Investment Company Act of 1940 — Sections 34(b), 35(d) and Rules 2a-7 and 35d-1 Straight-A Funding, LLC ...
With recent reports of a criminal investigation into insider trading by two SEC employees, attention is being paid to the agency's handling of personal trading ...
The SEC has fined Morgan Stanley $500,000 for Advisers Act violations, and has set a hearing to decide the fate of an investment adviser the ...
SEC Chairman Mary Schapiro reiterated her full support of a proposal to apply the same standard upon investment advisers and broker-dealers before Congress last week, ...
Several recent enforcement actions target firm CCOsThree separate cases in the last few days snagged firm CCOs, including one criminal plea that could bring up ...
Karen Silkwood, John Dean and Linda Tripp are just some of the names that come to mind when recalling famous whistleblowers. The SEC receives thousands ...
Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...