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The latest from the SEC.

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The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
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Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
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Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― ...
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Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...
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HG Vora Capital Management failed to file the required Schedule 13D disclosing its “control” purpose, current shareholdings, and other specified information within ten days
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The SEC adopts two new rules to further define the phrase “as a part of a regular business” as used in the statutory definitions of ...
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
This final rule governs investments by SEC staff, to avoid conflicts of interest
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These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
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Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...
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The SEC proposes a rule to adjust for inflation the dollar threshold used in defining a ‘‘qualifying venture capital fund’’ under the Investment Company Act
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