SEC Actions

Maplelane misidentified 358 short sale orders as long sale orders

The projections about future investment by the non-discretionary SMA clients lacked a reasonable basis

Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...

EXAMS staff observed instances where supervised persons were not provided with a copy of the code or did not provide written acknowledgement of their receipt ...

ARS Capital failed to post Form CRS on its website until after March 4, 2021

Good raised at least $4.8 million in this scheme, including through at least 30 fraudulent investments since 2017. Good did not however use the clients’ ...

The Proposed Rules also would not exclude investment advisers registered under the Advisers Act. A registered investment adviser trading for its own proprietary account, for ...

Exchanges would follow 14 principles of Exchange Act Sec. 3D

The internal review has found no evidence that the Enforcement staff investigating and prosecuting this matter accessed the Adjudication memoranda or took any action based ...

Disclosure arbitrage made industry belle of Wall Street's ball