In Revenue Sharing Case, SEC Highlights Failure to Consider Other Money Market Funds for Cash Sweeps
Adviser Pays Over $760,000 to Settle Charges In yet another case involving cash sweep accounts, the SEC has fined a New York-based adviser in connection with failing to disclose revenue...
October 06, 2021
SEC Brings More Revenue Sharing Disclosure Cases
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...
August 17, 2021
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...
July 20, 2021
Louisiana Adviser Pays $2.3 Million to Settle Share Class Selection, Revenue Sharing, Other Charges
Louisiana Adviser Pays $2.3 Million to Settle Share Class Selection, Revenue Sharing, Other Charges October 5, 2020 The SEC has brought an enforcement action against a dually-registered investment adviser...
October 05, 2020
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...
August 11, 2020
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