Disclosure

For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO’s research rules. In this go ...

The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

Two of the biggest dark pool operators in the U.S. have agreed to the largest-ever penalties imposed on alternative trading systems. The firms were charged ...

CSSU violated Section 17(a)(2) of the Securities Act by making misrepresentations regarding CSSU’s use and application of an “Alpha Formula/Scorecard” (“Alpha Formula”), which CSSU used to ...

CSSU did not fully and completely disclose to all Crossfinder subscribers the fact that confidential order information was being transmitted to the AES SOR or ...

Barclays made materially misleading statements and omitted to state certain material facts necessary to make statements made not misleading concerning a) the operation of an ...

Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...

The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...

A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.