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.
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In a new report, the SEC highlighted activities and recommendations from an August 2019 forum organized by the Office of the Advocate for Small Business Capital Formation.
Two investment advisers agreed to pay $3.6 million in order to settle SEC charges for failing to disclose a conflict of interest related to securities lending.