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SEC Actions

The latest from the SEC.

The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...
Intervest and Carson caused certain advisory clients to invest in Standard Units and Fund Class A shares when otherwise identical, but less expensive, Fee Account ...
Chairman looks at Reg D, ESG disclosures, insider trading, Form PF and much else
The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers
Between 2016 and 2020, the nineteen Verus IARs who received forgivable loans stood to earn over $480,000 in principal and interest forgiveness
MacDonald failed to exercise reasonable care and caused these fees to be transferred to VII Peaks even though she was unaware of any obligation by ...
CFI did not adequately disclose all material facts regarding the conflict of interest that arose when it invested advisory clients in a share class that ...
The staff will not recommend any enforcement action based on those conditions for a reasonable period of time after any resumption by Institutional Shareholder Services ...
Investment adviser examinations and coverage will be a continued focus for the Commission during FY 2021 and FY 2022
LJM’s failure to manage its portfolios in the manner described to investors resulted in catastrophic losses in early February 2018 when the S&P 500 suffered ...
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