Examinations Enforcement: Settlement

Section 17(a)(1) of the Exchange Act and Section 204 of the Advisers Act authorize the Commission to issue rules requiring, respectively, broker-dealers and investment advisers, ...

The CCO "did not review the offering materials or take other steps to determine whether her transfers were consistent with representations to CS Manager investors ...

Woods is due to be sentenced in September after pleading guilty in a related criminal case

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

Monroe Capital personnel became involved in multiple SPACs for which certain of Monroe Capital’s supervised persons co-owned the sponsoring entities, but Monroe Capital lacked policies ...

Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...

These proceedings arise out of the deletion by JPMorgan of approximately 47 million electronic communications in about 8,700 electronic mailboxes relating to the period January ...

The Funds’ LPAs did not disclose the criteria that Insight would use to evaluate whether a portfolio investment suffered a permanent impairment

In the 79 months of miscalculations, PIMCO never identified any concerns with the sub-administrator’s calculation of the Fee Waiver amounts