Disclosure

The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...

These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registered investment adviser SAA in connection ...

These proceedings arise out of improper mutual fund share class selection and billing practices by PNCI, a registered investment adviser and broker-dealer. First, from at ...

Undisclosed conflicts of interest and materially misleading disclosures in connection with the securities lending practices of two investment adviser subsidiaries of Voya Holdings have led ...

A recent SEC enforcement action against a former bitcoin-denominated platform and its operator hits squarely on two of the Commission’s hot focus areas—cryptocurrency and cybersecurity. ...

In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investors. On ...