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SEC Actions

The latest from the SEC.

A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
Hester Peirce
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
MS sold customers more expensive share classes when less expensive share classes were available
OCIE releases results of IC exams
SEC claims adviser failed at its fiduciary duty; advisers fires back
Settlement follows criminal case plea that could land the CCO in jail
The SEC proposes revising a rule that governs the publication of securities' quotations
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...

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