SEC Actions



Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses

Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...

"WAM’s compliance department also received a number of automatically generated daily and weekly exception reports that correctly identified the offerings at issue as ones that ...

"ECP should not have allocated to Fund III more than its proportional share of such expenses"

The advisers' "Forms ADV Part 2A, included misleading statements about the Respondents’ cash allocation decisions for the SIP portfolios, and failed to adequately disclose the ...



Trust Advisory Group did not provide full and fair disclosure regarding the revenue AGES Financial Services received from the Clearing Broker based on client assets ...