SEC Actions

The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration

JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts

A Private Investment Fund or Privately-offered RIC should not be deemed to be "narrowly held"

The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements

An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...

The SEC claims this case is about lying, forgery, and other deceptive conduct by Alan Seidel and Benjamin Mekawy

We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...

Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities

I cannot ignore the thousands Rossi spent gambling.

Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS