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Examinations Enforcement: SEC Actions

Canton Hathaway failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...
Lieutenants ran boiler room that bilked retail investors, feds claim
The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products
Firms, execs misled on tech, hid founder's national security "threat," Commission claims
Share class selection, fee markup practices, and best execution all cited in enforcement action
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
Fresh enforcement as SEC weighs Reg D reforms
Rajaratnam is barred from association with any investment adviser
Under Asset Manager A’s policies and code of ethics, Wygovsky was required, among other things, to comply with fiduciary obligations to Asset Manager A’s advisory ...
The line around CCO liability often is drawn by whether a compliance officer participated in an alleged fraud. In a new civil lawsuit filed in ...

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