SEC Actions

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

A New York investment adviser will pay $35 million to settle claims that it sold tens of millions of dollars in phony loan assets to ...

The Commission considered that Cozad self-reported to the Commission staff in the fall of 2018 after learning that the Unaffiliated BD/IA had participated in the ...

The Commission considered that Respondent self-reported its conduct to the Commission pursuant to the SCSD Initiative

Merrill was required to give its clients sufficient information so that they could understand the conflicts of interest

Because of the unique nature of the SCSD Initiative, this Order and the circumstances under which it was issued shall not be relied upon by ...

The staff of the Division of Investment Management has prepared the following responses to questions about funds and advisers affected by COVID-19

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...