The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic
Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...
This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions
The SEC proposes a rule to adjust for inflation the dollar threshold used in defining a ‘‘qualifying venture capital fund’’ under the Investment Company Act
The Reg BI violations affected about 5,900 retail accounts, causing the clients to pay $936,000 more in expenses for substantially equivalent funds than they otherwise ...
Gain takeaways from this 2024 SEC exam letter
Eye an SEC exam document request letter from an ongoing exam
The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...
These reports are expected to assist the Treasury, Federal, State, and local law enforcement and national security agencies in addressing illicit finance vulnerabilities in the ...
In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...