SEC Actions

A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...

The SEC is seeking comment on new regulations that would allow boards of registered funds to delegate valuations to firm investment advisers—regulations that if adopted ...

RBC disadvantaged certain retirement plan and charitable organization brokerage customers who maintained accounts at RBC

“The importance of understanding what is happening in the markets is greater than ever”

The change is being made to mitigate potential filing delays due to the ongoing impacts of COVID-19

Jesenik made materially false and misleading statements to investors regarding the financial condition of the Aequitas companies

Monomoy failed to provide full and fair disclosure that it would separately charge the fund’s portfolio companies for those services

An adviser should consider whether investments are recommended only to those clients who can and are willing to tolerate the risks

The proposed rule would provide requirements for determining fair value in good faith with respect to a fund

The Commission did not expressly prohibit the use of these names and titles by broker-dealers