RCW Staff
Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.
Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for...
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initial margin threshold amount ...
The BNY Mellon Family of Funds, et al. July 9, 2019 Investment Company Act of 1940 – Section 15(a) Certain Disclosure Requirements July 9, 2019 ...
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A number of commenters expressly ...
SEC Obtains Judgment Against Broker Litigation Release No. 24528 / July 8, 2019 Securities and Exchange Commission v. Jovannie Aquino, No. 1:18-cv-08191 (S.D.N.Y. filed September ...
The count of the indictment to which Gonzalez Seijo pled guilty alleged that he was an independent insurance agent who offered variable annuities, among other ...
Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper transfers ...
A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment advisory account by asking Davis, ...
Catledge solicited investments, through the marketing entity known as Net Worth Solutions, involving the offer and sale of over $163 million of investment contracts in ...