Disclosure

Today’s proposal would take a step toward increased transparency. Specifically, it would update the rule with the aim of providing more timely information about ...

The SEC Jan. 25 charged a Massachusetts-registered investment adviser and its managing partner, CCO and sole employee Michael Breton with cherry-picking client trades. The case ...

Not adequately disclosing the risks and costs of a foreign exchange program have led to separate SEC settlements for Morgan Stanley Smith Barney and Citigroup ...

Between August 2010 and July 2011, certain registered representatives of CGMI and certain registered representatives of Morgan Stanley Smith Barney LLC (“MSSB”) presented to certain ...

The SEC wants it known that it has the expertise to examine complex algorithmic strategies and that the Commission focuses on all corners of the ...

During the relevant period, CES provided a written disclosure to certain retail broker-dealer clients that described a market order as an “[o]rder to buy (sell) ...

Leaders of a New York-based private equity adviser are used to judging the value of potential portfolio companies. They hired an IT company and then ...

These proceedings arise out of the failure by a registered investment adviser and its principals to disclose potential conflicts of interest to its private equity ...

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

The SEC's complaint alleged that Interinvest and Black funneled more than $17 million in client assets into four financially troubled Canadian penny stock companies in ...