Disclosure

VSS and Stevenson received preliminary information indicating the Fund III NAV had potentially increased significantly during the first quarter of 2015 from the 2014 NAV, ...

An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a ...

After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commission Chairman Jay Clayton that ...

Respondents marketed all of the Products and Strategies as “managed using a proprietary quant model,” and highlighted, when marketing certain of the Products and Strategies, ...

FWA failed to disclose that it had a conflict of interest as a result of the additional compensation it received for those share class selection ...

BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy didn’t prevent long ...

With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to important market information.  ...

The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality standards” when ...

May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our ...

Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date ...