SEC Brings More Revenue Sharing Disclosure Cases August 17, 2021 Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first...
Massachusetts Adviser Pays Over $1.9 Million to Settle Charges of Inadequate Disclosure of Revenue Sharing in Connection with Cash Sweep Bank Accounts July 20, 2021 In another sign of...
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring, and Disclosures January 5, 2021 The SEC has fined a New Jersey-based dual-registrant over...
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...
SEC Fines Adviser $40 Million for Lack of Disclosure in Connection With Teachers’ Retirement Plans and Share Class Selection SEC Chair Clayton Reminds Public of Initiative to Protect Teachers’ Retirement...
You are now leaving Investment Adviser Association
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
