Disclosure

Not timely reporting more than 365 required filings over a span of several years and, on average, making these filings over four years late is ...

When the president of Valentine Capital Asset Management ($367 in AUM) lost his ability to earn commissions from a managed futures fund, he simply created ...

Currently, the reports that companies file with the SEC are document-based reports. In particular, the 10-K can be voluminous, with much of the information disclosed ...

Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered companies have been adopted by the SEC. The ...

Allegedly reaping over a half-million dollars in ill-gotten gains by “cherry-picking” profitable trades and “double-dipping” on fees has resulted in SEC fraud charges against an ...

Steve Luparello, our Director of the Division of Trading and Markets, is about to update you on some of our equity market structure work and ...

The Institute for the Fiduciary Standard Sept. 19 announced a new program that will allow fiduciary advisors to better show investors how they serve clients’ ...

Private equity firms continue to strengthen disclosure to limited partners about co-investment programs as the SEC maintains its emphasis on transparency, according to a lawyer who works with GPs. ...

Initially signaled back in January in its 2016 exam priorities letter, the SEC’s Office of Compliance Inspections and Examinations confirmed Sept.12 that it will examine ...

Among other things, AST stated that all of the subadvisory agreements may be terminated at any time, without penalty, by Orinda. The disclosures in the ...