SEC: Enforcement

Your secretary of state’s website is a good place to search for evidence of staff running outside business activities

It’s a given you should know who your investors are. But when you add it all up, you should also be sure if any one ...

The email account takeovers resulted in unauthorized, malicious phishing and credential-harvesting emails to many of the adviser's customers, potentially exposing their PII to bad actors

The violations included failing to conduct annual reviews, not implementing compliance P&Ps, producing inaccurate Form ADV brochures and not obtaining written advisory agreements for all ...

MH Investment was aware of the Accountant’s wife’s investment at the time it proposed that MH Elite engage the Accountant to serve as its auditor ...

The case supplies a glimpse of how to approach disclosure around revenue sharing and conflicts, no doubt refined after this drawn-out civil lawsuit

Some people are just naturally lucky. Of course, there are two types of luck

'If Congress wished for the SEC to issue speech restrictions, it would have done so clearly'

"The Wells process usually occurs at the end of an investigation, but it generally should not be the only opportunity for enforcement staff and potential ...

The process was changed by the previous Administration