SEC Actions

This marks the second time E*Hedge and Parks have failed to respond to Commission examination attempts

For two Clients who explicitly requested that Vescio disclose the fees charged, Vescio negligently failed to include 12b-1 fees

Large penalty even though dual registrant began reimbursing 12b-1 fees in 2016

The SEC issues a slight correction of its swap recordkeeping rule for B-Ds

Oxbow did not adequately disclose all material facts regarding the conflict of interest that arose when it invested advisory clients in a share class that ...

The staff would not recommend enforcement action to the Commission against a closed-end fund under for opting in to and triggering a control share statute ...

In the staff’s view, the terms and conditions of TALF 2020 are substantially similar to those of TALF 2008 for purposes of the staff no-action ...

Compliance staff failed to comply with policies and procedures designed to prevent misuse of information

TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps

These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...