The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
The latest B-D case touches on customer identification, account opening, and deficient regulatory technology
A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed
If you hire an auditor to examine your private funds, make sure the person does the job. If not, the SEC likely won’t come down ...
Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers
A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...
Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission
Here are our hottest stories from August
Peirce and Uyeda dissent, criticize fellow commissioners for not going back to public comment drawing board
Exempt private equity, venture capital managers face biggest lift