SEC Actions

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...

We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...

The required margin for each long or short position in a security future shall be fifteen (15) percent of the current market value of such ...

The parties that are likely to be affected by the amendments include investors and other market participants that use the information in these filings (such ...

SEC commissioners approve final rule creating a "consistent and efficient rules-based regime for the formation, operation, and oversight of fund of funds arrangements"

The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests

OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE ...

Because these APFS registered representatives failed reasonably to investigate VXX, they did not understand how VXX works, the risks inherent in investing in VXX, or ...

Benjamin Edwards failed to implement advisory policies and procedures reasonably designed to prevent unsuitable recommendations that their retail advisory clients buy and hold the Complex ...

Without the benefit of the training required by the firm’s policies and procedures, certain of these Summit Financial IARs had a flawed understanding of VXX’s ...