SEC Actions

"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...

The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...

To deceive his clients about the fact that he had stolen their money, Couture created fake account statements that purported to reflect investments at Legacy ...

The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...

Goldman "did not adopt written policies and procedures governing how GSAM FE evaluated ESG factors as part of the investment process until some time after ...

The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...

The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...

The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year

EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants