SEC Actions

The firm also did not properly describe the status of its fund’s financial statement audits when filing its Forms ADV and did not update certain ...

CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...

He failed to take necessary steps to do so despite being on notice of the rule’s requirements and was aware of the ongoing failures in ...

The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...

SEC rule restricts certain PF adviser activities

This is another new Advisers Act rule directed at PF advisers in 2023

This Adviser Act rule lays out how PF advisers should handle certain secondary deals

This is the Advisers Act rule directed at how PF advisers handle quarterly statements

These are the key definitions under the SEC's PF compliance rules

This is the SEC's rule on PF audits