Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...
Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...
This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition
The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...
In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors
The Canadian-based exempt reporting adviser has since undertaken certain remedial steps, including updating and revising its Rule 105 policies and procedures to prevent future Rule ...
Based on the facts and representations made in your letter, we would not recommend enforcement action to the Commission under Section 17(d) of the 1940 ...
The adviser did not fulfill its duty of care obligations when it exchanged Wrap Program clients’ existing assets in certain mutual funds for other investments ...
This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023
The defendant engaged in a fraudulent “cherry-picking” scheme by disproportionately allocating profitable first-day trades from an average price account to the account of a private ...