Peirce and Uyeda Dissent on Best Ex Violations
SEC Commissioners Peirce and Uyeda dissent on best execution violations in share class selection disclosure enforcement action.
March 09, 2023
Peirce and Uyeda Dissent on Best Ex Violations
SEC Commissioners Peirce and Uyeda dissent on best execution violations in share class selection disclosure enforcement action.
March 09, 2023
SEC proposes sweeping market structure changes, calls for enhanced disclosure, pricing, order routing requirements and new best execution rule for brokers; adopts amendments to safe harbor rule for trading plans for insiders.
December 16, 2022
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Colorado Advisers Pay Over $10 Million to Settle Share Class Selection, Related Charges
Colorado Advisers Pay Over $10 Million to Settle Share Class Selection, Related Charges July 15, 2021 Two affiliated Colorado-based investment advisers are paying more than $10 million to settle...
July 15, 2021
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring
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...
January 05, 2021
SEC Adopts Amendments to Shareholder Proposal Rule, Raising the Bar for Submission and Resubmission of Shareholder Proposals October 2, 2020 In a 3-2 vote, the SEC has adopted amendments...
October 02, 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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