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.
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FINRA warned investors to exercise caution when investing in small capitalization initial public offerings due to an increase in pump-and-dump schemes.
An investment adviser, its principal and a trader settled SEC charges "for causing the executing brokers of a hedge fund to violate [short sale] order-marking and locate requirements, and . . . causing the hedge fund to act as a dealer without registering with the Commission. . . ."
A broker-dealer settled FINRA charges for misreporting short positions in equity securities.
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail was published in the Federal Register.