SEC Actions

Firms should confirm that the disclosures in their relationship summaries comply with the adopted instructions to Form CRS

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

Wedbush’s WSPs provided that, if any of the above warning signs appears, a registered representative should bring it to the attention of the Wedbush Sales ...

Siniscalchi was an associated person and Chief Compliance Officer of Indio Entertainment, an investment adviser registered in California as an exempt reporting adviser

This is the SEC's 9th annual report around its use of Form PF data

EXAMS contacted NLCA’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. NLCA, ...

Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals

Comments should be received on or before January 3, 2022

Upright Trust maintained no written policies and procedures .... did not have any specific procedures on calculating the NAV, and there were no procedures designed ...

Institutional investors and investment advisers generally retain PVABs to assist with voting determinations on behalf of their clients as well as “other aspects of the ...