SEC Actions

“The importance of understanding what is happening in the markets is greater than ever”

The change is being made to mitigate potential filing delays due to the ongoing impacts of COVID-19

Jesenik made materially false and misleading statements to investors regarding the financial condition of the Aequitas companies

Monomoy failed to provide full and fair disclosure that it would separately charge the fund’s portfolio companies for those services

An adviser should consider whether investments are recommended only to those clients who can and are willing to tolerate the risks

The proposed rule would provide requirements for determining fair value in good faith with respect to a fund

The Commission did not expressly prohibit the use of these names and titles by broker-dealers

This relief will provide Introducing Industry Members with additional time to prepare effectively for certain CAT reporting phases

Order Granting Conditional Exemptive Relief Governing the Consolidated Audit Trail

Old Ironsides failed to implement its policies and procedures in its Compliance Manual concerning the use of investment performance results in marketing materials