Tag: Securities and Exchange Commission

According to one experienced capital markets attorney, the SEC’s move this week to amend Securities Act Rule 701 is an important one...

The SEC recognizes that, "the American economy is rapidly evolving, including through the development of both new compensatory instruments and...

The SEC's complaint alleges that the former executive led a scheme to add secret commissions to securities trades performed for...

Navnoor Kang allegedly used his position to direct up to $2.5 billion in state business to registered representatives at two...

The Wagner Law Group says non-ERISA 403(b) plans may satisfy the definition of “retail customer” in the Securities and Exchange...

The brokerage firm will pay more than $15 million in settlement.

The agency also adopted a new rule allowing fund companies to share information via the Internet.

Michael Barry, president of October Three (O3) Plan Advisory Services LLC, discusses how the Securities and Exchange Commission’s (SEC)’s broker/investment...

This would replace a pending requlation that would have required the disclosure to be made on Form N-PORT on a...

The SEC says Envoy Securities received at least $24,893.26 in 12b-1 fees in connection with investments in higher-fee share classes.