The latest from the SEC.
Home SEC Actions
SEC Actions
The Firms failed to keep for prescribed periods, and furnish copies of, such business–related records as necessary or appropriate in the public interest or for ...
The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.
In 1992, Bodner pleaded guilty in federal court to misdemeanor fraud in connection with his use of an impersonator to take his Series 7 exam ...
Shaughnessy made material misstatements and omissions to the client about the reasons for the performance discrepancies
The Aon Partner attributed the error to “data corruption” that “was due to an error by an analyst in uploading NAV and cashflow data from ...
SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...
This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...
JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
