SEC Actions

At no time during the relationship between the Teachers Union Entity and VALIC, were the K-12 teachers told that VALIC was making payments to the ...

In March of 2017, VFA disclosed for the first time the receipt of Revenue Sharing, but still did not fully and fairly disclose that conflict ...

The Committee’s initial reviews have identified examples that may lack certain disclosures or could be clearer or otherwise improved

Hopkins began approaching his brokerage customers about a new investment opportunity at the local credit union involving the opening of a new branch office. This ...

The key expected benefit of the final rule is that it creates a more structured framework to implement section 205 of the Dodd-Frank Act, so ...

Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...

Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...

Every year, retail investors, institutional investors, and investment advisers face decisions on whether and how to vote on a significant number of matters that are ...

Cano also participated in the preparation of forged documentation purportedly memorializing the new loan, by altering documentation memorializing one of the earlier legitimate loans to ...

Applicants request an exemption from Section 205 and Rule 205-1 under the Advisers Act to the extent necessary to permit the Proposed Fulcrum Fee to ...