SEC Actions

The key expected benefit of the final rule is that it creates a more structured framework to implement section 205 of the Dodd-Frank Act, so ...

Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...

Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...

Every year, retail investors, institutional investors, and investment advisers face decisions on whether and how to vote on a significant number of matters that are ...

Cano also participated in the preparation of forged documentation purportedly memorializing the new loan, by altering documentation memorializing one of the earlier legitimate loans to ...

Applicants request an exemption from Section 205 and Rule 205-1 under the Advisers Act to the extent necessary to permit the Proposed Fulcrum Fee to ...

UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...

The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...

Beginning in or about 2007,1 Hu and others at IIG engaged in a practice of hiding losses in the TOF portfolio by overvaluing troubled loans ...

The complaint also alleges that investors who were able to redeem their interests received more money than they were entitled to because their redemptions were ...