SEC: Enforcement

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...

Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...

"If a mutual fund receives a request from its transfer agent that the Commission required the transfer agent to make, fund counsel reasonably will view ...

Examiners asking funds about their advisers

He abused his position to help several groups controlled by suspected or known securities laws violators illegally sell their OTC stock at manipulated prices to ...

Gatekeepers learning hard lessons

Commission staff uncovered Respondents’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers

Messages sent through unapproved communications methods, such as WhatsApp and other unapproved applications on personal devices, were not monitored, subject to review or archived

Baseball great Yogi Berra once said 'it ain’t over until it’s over.' With the SEC, it may never be over