SEC Actions

This is the new national market system plan governing the public dissemination of real-time consolidated equity market data for national market system stocks

While the staff is preparing and the Commission is considering potential additional rulemaking, the procedures discussed below are available to whistleblowers with claims pending during ...

Beginning in December 2020, USAFS converted its clients from existing money market funds used in Sweep Accounts that paid revenue sharing to USAFS, to different ...

First Heartland had a conflict of interest when recommending certain money market funds to its clients: it had an incentive to recommend cash sweep products ...

Instead of monitoring compliance with Integral’s customer-specific suitability WSPs, Ho merely directed the Integral RRs to have the Customers sign the firm’s standard risk disclosure ...

Another HJS RR recommended the purchase of over $49,000 in VRSPs to an 87-year-old customer with a moderate risk tolerance, an investment objective of income, ...

The FCA Application asked the Commission to permit certain entities regulated and supervised by both the FCA and the UK’s Prudential Regulation Authority (“PRA”) to ...

Coburn & Meredith also, by causing certain advisory clients to invest in share classes of mutual funds that paid 12b-1 fees, when fund share classes ...

The items listed in the Regulatory Flexibility Agenda for Spring 2021 reflect only the priorities of the Chair of the U.S. Securities and Exchange Commission, ...

On February 18, 2021, EXAMS again contacted SFA but this time to announce an examination relating to the firm’s failure to file Form CRS. SFA ...