SEC Actions

Section 17(a)(1) of the Exchange Act and Section 204 of the Advisers Act authorize the Commission to issue rules requiring, respectively, broker-dealers and investment advisers, ...

The CCO "did not review the offering materials or take other steps to determine whether her transfers were consistent with representations to CS Manager investors ...

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

Woods is due to be sentenced in September after pleading guilty in a related criminal case

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...

The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration

Monroe Capital personnel became involved in multiple SPACs for which certain of Monroe Capital’s supervised persons co-owned the sponsoring entities, but Monroe Capital lacked policies ...

Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...

The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...