Examinations Enforcement: SEC Actions

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

SEC opens exam sweep of exempt advisers amid liquidity concerns

Just when you thought it was safe to go back to the office

Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"

Firms paused fund raising for years over single trades

Cases raise 'red flags' for funds' due diligence

Regulators 'really pushing the boundaries' with fintech

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

SEC states investors must be able to know the advice they receive is free of undisclosed conflicts, regardless of whether the conflict is financial in ...