SEC Actions

This is the DOE's 2023 exam priorities

"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"

"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

Comments will be accepted through March 31, 2023

This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities

A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

The SEC proposes to update the disclosure required for order executions in national market system stocks