Disclosure

The adviser did not adequately disclose all material facts regarding the conflicts of interest that arose when employer plan participants considered rolling over their assets ...

"Advance Capital Management failed to consider whether pending class action claims could be monetized for the benefit of ACI’s shareholders prior to redemption"

The overall objective of this audit was to determine whether the SEC’s information security controls for safeguarding CAT data within the SEC’s environment complied with ...

FinCEN narrows the existing beneficial ownership information (BOI) reporting requirements under the Corporate Transparency Act (CTA) to require only entities previously defined as 'foreign reporting ...

New rules and form changes apply to initial public offerings by SPACS. Beginning in June 2025, registrants must tag disclosure required under the final rules ...

Two different approaches to a fundamental compliance obligation—disclosing relevant information to clients

There are some immediate actions you should take if you’ve lost, misplaced, or forgotten key EDGAR codes

"Attempts to fill disclosure rulebooks with requirements specific to climate, artificial intelligence, or any other hot topic disserve investors in several ways"

"These disclosure requirements, while enabling fund shareholders to monitor fund voting, also make asset managers sitting ducks for pressure campaigns from social and political activists and ...

Transamerica Retirement Advisors paid incentive compensation to its Retirement Planning Consultants for referring employer plan participants to its investment advisor reps