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BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts
To the extent any of these market participants are registered investment advisers under the SEC’s jurisdiction, I believe it is important that we identify any ...
IM encourages investment advisers and funds to contact the Division staff with any concerns about the potential effects of COVID-19 on their operations
Eric Lyons misused and misappropriated approximately $570,000 from the funds
We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings
Hafen defrauded his clients, convincing them he could put them in investments that would produce 6% annual returns but instead used their money for his ...
The SEC alleges Motty Mizrahi told investors his trading strategy was risk-free, clients would not lose money and they could withdraw their money at any ...
We are amending the definition of the term “assets under management” in the private fund adviser exemption to exclude the assets of RBICs
The revised ADV Brochure made no reference to the agreements or payments and did not explain the resulting conflicts of interest
