An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
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An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
A firm settled FINRA charges for engaging in a scheme to deceive investors in pre-IPO private placement offerings and failing to reasonably enforce its supervisory protocols.