Disclosure

This matter involves a registered investment adviser’s failure to disclose to clients that it received from a newly-engaged broker-dealer and registered investment adviser (“Broker-Dealer”) more than ...

This matter involves the failure of registered investment adviser Advantage Investment Management, LLC to disclose a loan of approximately $3 million, forgivable over a five-year ...

For the first time, broker-dealers would be required to disclose their handling of institutional orders to customers should proposed rules approved July 13 by the ...

RiverFront significantly increased its trading away activity during 2009 and early 2010. Consequently, trading away began to constitute a majority of wrap trading by volume, whether ...

Updating our regulations to remove overlapping or superseded provisions is unlikely to be viewed as cutting-edge, headline-grabbing work. But let that not be a reason ...

In addition to improvements in the reports provided to institutional investors, the proposal would require broker-dealers to provide quarterly reports regarding their retail order routing ...

We are proposing amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission ...

These proceedings involve Merrill Lynch’s failure to adequately disclose certain fixed costs in a proprietary volatility index linked to structured notes known as Strategic Return Notes ...

It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...

This matter concerns investment adviser James Caird Asset Management LLP’s (“JCAM”) and its principal Timothy Leslie’s misleading disclosures concerning the trading overlap and allocations between ...