SEC enforcement actions demonstrate how seriously the Commission takes barriers to the reporting of information to the agency
These are our top stories for the month
Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...
It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...
Williams, the firm’s CEO/CCO, 'failed to provide the Commission with evidence to corroborate' the Form ADV filing claiming trillions in AUM
The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty
The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders
The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications
Consider your 'vulnerabilities' to being used for money laundering when crafting your P&Ps, including the investment products you offer, investment recommendations, distribution channels, intermediaries used ...
Be careful giving a CCO too many hats to wear. FinCEN warns 'multiple additional job duties' 'generally would not fulfill" the requirement to have an ...