Regulation Best Interest expressly applies to account recommendations including recommendations of securities account types
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 SEC claims this case is about lying, forgery, and other deceptive conduct by Alan Seidel and Benjamin Mekawy
Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities
Based on Critical’s net long position, it should have tendered only 5,500 Lockheed shares and received only 3,637 Leidos shares
Based on Bluefin’s net long position, it should have tendered only 4,103,463 Lockheed shares
The Commission is adopting a recordkeeping program for SBSDs and MSBSPs
Jefferies was responsible for supervising its securities lending desk personnel .... failed reasonably to fulfill such supervisory responsibilities
"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...