SEC Actions

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 ...

In light of COVID-19, however, Division staff will offer applicants the option to provide an e-mail address

On April 8, 2020, the Commission adopted rules that will modify the registration, communications, and offering processes for business development companies and other closed-end investment ...

The Commission intends to continue to monitor the situation as it develops

As directed by Congress, we are adopting rules that will allow affected funds to use the securities offering rules that are already available to operating ...