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'Investors were unable to make a fully informed decision,' SEC claims as it hints at 'ongoing' developments
The advisers' "Forms ADV Part 2A, included misleading statements about the Respondents’ cash allocation decisions for the SIP portfolios, and failed to adequately disclose the ...
'Uneven field,' Chairman says, but stops short of calling for ban of payment-for-order flow
"Another area of challenges that new technologies present is in relation to the use of digital engagement practices, including predictive data analytics, behavioral prompts, differential ...
"I’ve also asked staff to make additional recommendations for the Commission’s consideration with respect to broker-dealers, Regulation SCI, and intermediaries’ requirements regarding customer notices (Regulation ...
SEC Commissioner Hester Peirce
"I am very much looking forward to hearing from our two expert panels, the first of which will address the often knotty questions of ethics ...
Robos must ensure their marketing materials don't mislead and that conflicts are disclosed to investors
Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...
P&Ps untried, untested, Commission warns in new risk alert
Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...
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