Tag: Dual Registrant
SEC Case Spotlights Safeguarding and Disposal of Personal Information, Vendor Oversight
The SEC charged a large dual registrant with PII safeguarding and disposal deficiencies, in violation of Regulation S-P.
September 23, 2022
Tags: Dual Registrant, Reg S-P, SEC Enforcement
SEC Brings Three Cases for Identity Theft Red Flags Rule Violations
The SEC charged three firms for identity theft prevention program deficiencies, in violation of the Identity Theft Red Flags Rule (Regulation S-ID).
August 01, 2022
Tags: Dual Registrant, Red Flags, Reg S-ID, SEC Enforcement
SEC Charges Dual-Registrant in Connection with Share Class Disclosures and Principal Trading Violations November 25, 2019 The SEC filed a complaint against a Massachusetts-based dual-registrant for failing to disclose...
November 25, 2019
Tags: Dual Registrant, Massachusetts, SEC Enforcement, Share Class Disclosure
Dual-Registrants to Pay $35 Million for Unsuitable Recommendations Regarding Single-Inverse ETFs
Dual-Registrants to Pay $35 Million for Unsuitable Recommendations Regarding Single-Inverse ETFs March 11, 2020 The SEC fined two affiliated dual-registrants a total of $35 million in connection with unsuitable...
March 11, 2020
Tags: Dual Registrant, SEC Enforcement
New Reg BI FAQs Focus on Use of “Adviser” and “Advisor,” Dual-Hatted Employees
New Reg BI FAQs Focus on Use of “Adviser” and “Advisor,” Dual-Hatted Employees August 11, 2020 SEC staff issued several new FAQs on August 4 on the application of...
August 11, 2020
Tags: Dual Registrant, Fiduciary, Reg BI
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