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SEC: Enforcement

"By levying punishment on a registered representative for failing to red-flag a transaction and consequently failing to make an internal report, we are encouraging registered ...
"This enforcement action involves activity that we believe constitutes fan crowdfunding—a common phenomenon in the world of artists, creators, and entertainers .... The Commission’s application ...
Human hands exchanging money - closeup shot
The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...
Cleanup housework concept. Closeup cleaning woman sweeping wooden floor with red small whisk broom and dustpan indoor
RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
Man Carpet Stumble Accident And Falldown In House
A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...
Close up hand of businessman holding money dollar bills on wooden table. Using as concept of corruption , Business corruption, bribe. With copy space for your text.
Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...
SEC Commissioner Peirce
"If a mutual fund receives a request from its transfer agent that the Commission required the transfer agent to make, fund counsel reasonably will view ...
Examiners asking funds about their advisers
Hispanic worker falling on stairs while holding cordless drill
He abused his position to help several groups controlled by suspected or known securities laws violators illegally sell their OTC stock at manipulated prices to ...
Gatekeepers learning hard lessons
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