SEC Actions

I cannot ignore the thousands Rossi spent gambling.

Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS

Springer concealed from prospective clients his prior disciplinary history with the SEC

These rules cover reconciling outstanding security-based swaps with applicable counterparties on a periodic basis

The Commission is adopting a recordkeeping program for SBSDs and MSBSPs

This letter extends that no-action relief until the date that a PCAOB-adopted permanent program begins

The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies.  The firm will now pay nearly $4 million in ...

Kornitzer repeated failed to follow client instructions to reduce high concentrations in securities of a single company

New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...

SEC proposes changing the advertising rule for the first time in decades