SEC Actions

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

Morgan Stanley failed to adopt and implement P&Ps reasonably designed to prevent and detect unauthorized externally-initiated ACH payments

The firm discovered malicious software had blocked access to its computer systems and data by encrypting data and programs within its network. The attack disrupted ...

Fair Invest and Parekh made untrue and misleading statements concerning the WBAs

Paulson filed a SAR in which the narrative stated that in reviewing a request to approve margin trading for a client’s account. However, failed to ...

The didn't contain the information as required by FinCEN, such as the “five essential elements”—namely the “who, what, when, where, and why” of the suspicious ...

This SAR narrative failed to include all of the information required by FinCEN, including the time-frame of the suspicious trades; details about the trading, such ...

This technical amendment reverses some Advisers Act changes due to a federal court disallowing the Commission's private fund rule. This means the annual review is ...

This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are ...

A substantial portion of the investment strategies that Invesco counted as ESG integrated could not consider ESG factors in making investment decisions because they were ...