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
Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first case, the SEC found that a Missouri-based adviser provided inadequate disclosures...
August 17, 2021
In another sign of its focus on conflicts relating to cash sweep accounts, the SEC has fined a Massachusetts-based investment adviser for disclosure failures in connection with conflicts arising from...
July 20, 2021
Louisiana Adviser Pays $2.3 Million to Settle Share Class Selection, Revenue Sharing, Other Charges
The SEC has brought an enforcement action against a dually-registered investment adviser and broker-dealer in connection with placing clients in fund share classes between January 2014 and May 2017 that...
October 05, 2020
The SEC has fined a Texas-based investment adviser a total of $40 million in two enforcement actions regarding failures to disclose certain practices by the adviser in connection with teacher...
August 11, 2020
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