The US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations ... than $1,000 to each of two unaffiliated accounting ...
On April 3, 2024, the US Securities ... SEC registered investment adviser (“RIA”) for violations of, among others, Section 204 of and Rule 204-2(a)(7) under the Investment Advisers Act of ...
The Securities and Exchange Commission, exercising its regulatory authority of broker-dealers and investment advisers ... So far, the SEC’s probes and parallel inquiries by the Commodities ...
The situation is so confusing that the United States Securities and Exchange Commission (SEC) and the North ... often require representatives of investment advisers to hold certain licenses.
Concluding two enquiries made ... especially when it comes to fines and settlements. In November 2020, the retailer paid a further $17.5 million settlement to 46 US states and Washington DC ...
SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry in the United States. go to website The US Securities and Exchange Commission (SEC ...
The United States Securities and Exchange Commission (SEC) will most likely deny spot Ether (ETH) exchange-traded funds (ETF) in May, according to a new report. Reuters reported on April 24 that U ...
Some submissions contained outdated references to the SEC’s former cash solicitation rule. SEC staff also noted instances where investment advisers used prohibited advertising material, such as ...
The Securities and Exchange Commission Monday penalized a Minnesota registered investment advisor $60,000 for violating industry pay-to-play rules after a firm associate contributed $4,000 to the ...
VanEck, ARK Investment Management and seven other issuers have filed with the SEC to list ETFs that would ... Marketscategory Mexico's Bankaool plans US stock market debut by 2026 6:47 PM UTC ...