New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades July 22, 2021 The SEC’s Division of Examinations has issued two risk alerts describing the staff’s observations...
July 22, 2021
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
December 28, 2020
SEC Fines Affiliated Advisers $1 Million for Misrepresentations to Fund Boards in Connection with Payments for Order Flow August 10, 2020 The SEC has charged two affiliated investment advisers...
August 10, 2020
SEC Charges Adviser in Connection with Trade Allocations to Day-Trading Clients
SEC Charges Adviser in Connection with Trade Allocations to Day-Trading Clients August 10, 2020 The SEC has charged a Connecticut-based investment adviser in connection with its allocation of trades...
August 10, 2020
Wrap Fee Program Sponsor Fined $5 Million for Providing Misleading Information to Investors
Wrap Fee Program Sponsor Fined $5 Million for Providing Misleading Information to Investors May 19, 2020 The SEC has fined a dual-registrant that serves as a sponsor of wrap...
May 19, 2020
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