A broker-dealer settled SEC charges for failing to comply with Regulation Best Interest in connection with recommendations to retail brokerage customers purchasing mutual fund shares in their IRAs.
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An investment adviser settled charges with the SEC for failing to disclose to the Board of an ETF managed by the adviser, the terms of a contract with a social media influencer.
A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
A broker-dealer and its affiliated investment advisers settled SEC charges for providing securities services to mutual funds in violation of the ineligibility provisions of the Investment Company Act.
An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.