SEC Actions

The Commission will continue to monitor the current situation and may issue other relief as necessary or appropriate

"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"

OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site

The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...

The Commission intends to continue to monitor the current situation

The order, tied to the coronavirus, also extends to Form PF filings

Boggs misappropriated his clients’ money by selling securities in their advisory accounts and then transferring the proceeds to his personal credit card account

HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...

It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.

Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required