SEC Actions

Royal Alliance also failed to implement and reasonably design existing written policies and procedures that would safeguard against unsuitable investments in such products. For example, ...

This matter concerns the adviser's failure to adopt and implement P&Ps to prevent investments in two volatility-linked exchange-traded products that were not suitable for its ...

If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...

Due to Commission rulemaking, the Division of Investment Management withdraws no-action letters issued between 2008 and 2015

The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...

Under the proposed amendment, a shareholder could satisfy any one of these thresholds to be eligible to submit a proposal

This rule simplifies the framework for registered and exempt offerings; sets clear and consistent rules governing offering communications between issuers and investors; and harmonizes certain ...