Home SEC Actions

SEC Actions

The latest from the SEC.

A young businessman slipping on a banana peel
The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...
Lost Something. Looking For Keys Or Things
Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...
Man holding big stack of US paper currency by safety deposit boxes. Focus on money
You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
Man looks through binoculars in mountain
The Commission is adopting rule amendments that are designed to modernize and enhance the protections that Regulation S-P provides by addressing the expanded use of ...
Dog mischief. Two dogs with innocent expression after destroy a pillow. separation anxiety and obedience training concept. High angle view.
The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
Businessman or politician cross finger, hiding behind his back during he get handshake to another person, businessman. Businessman pretend to be good person, he is liar. White collar worker is fraud
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
Teenager girl showing his driver's license in the car window after passing the exam or at the request of the traffic police
This is the joint SEC/FinCEN proposal that would require SEC RIAs to maintain a CIP or customer identification program
symbolizing corporate dishonesty or perjury
During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...
Businessman holding USD banknote for payment.US dollar is main and popular currency of exchange in the world. Investment and saving concept.
CCA benefited from this arrangement by deferring payment on its legal costs for multiple years
London Piccadilly during night evening
The Division encourages advisers to reflect upon their own practices, policies, and procedures and to implement any appropriate modifications to their training, supervisory, oversight, and ...

Copyright PEI Media

Not for publication, email or dissemination