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The latest from the SEC.

Seth Leyton aided and abetted a scheme to defraud investors that involved obtaining either CMOs or cash to purchase CMOs. The defendants obtained more than ...
We intend to issue an order that would increase the dollar amount of the assets-under-management test from $1,000,000 to $1,100,000, and would increase the dollar ...
The client "contacted GWFS to report receiving a check for approximately $43,000 that he did not request. GWFS’ internal investigation determined that PPB’s personal information ...
Investors should understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment .... the Division of Examinations, will closely ...
DeCaprio was responsible for reviewing drafts of the Form ADV Part 2A for accuracy and completeness and failed to disclose the sub-advisory relationship, the Mutual ...
The CCO is responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository ...
Tennison fooled investors, selling securities in a supposed religious and humanitarian project and claiming profits would be used for religious and humanitarian projects
Rule 151(a) currently sets forth the procedural requirements for filing papers with the Commission
These FAQs are directed at BDCs and mutual funds
The SEC's Division of Investment Management publishes FAQs giving guidance to mutual fund advisers on their compliance obligations regarding required filings
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