SEC: Enforcement

JP Morgan Securities self-reported the issue to the Commission staff, undertook an investigation to confirm that there were no other Clone Pairs available for recommendation ...

If your ESG fund vows to exclude 'fossil fuel' securities, be sure to define what you mean by this phrase

One of the major lessons of this case is listen to your CCO

"The Commission needs to start treating companies subject to cyberattacks as victims of a crime, rather than perpetrators of one"

"One approach is using a sliding scale that would allow any individual to invest at least a modest amount in private investments over the course ...

In its representations to the Board and in the ESG Funds’ Prospectuses, WisdomTree did not describe the limitations of the data sets it used from ...

The case offers lessons for brokerage firms involved with complex financial instruments

The firm's compliance officials also erred in not recommending that the adviser also become a registered B-D

Owner suspended six months for ignoring red flags in hiring a rep who turned out to be a fraudster. The rep will likely spend the ...

The SEC’s settlement suggests one compliance action you could consider