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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The DOJ and FTC reported data on the Hart-Scott-Rodino Premerger Notification Program for fiscal year 2021.
The CFTC Market Participants Division extended temporary no-action relief to permit futures commission merchants to invest customer funds in securities that include an adjustable interest rate benchmarked to the Secured Overnight Financing Rate.
President Joseph R. Biden signed an Executive Order providing guidance to the Committee on Foreign Investment in the United States on maintaining a robust foreign investment review process to identify and address potential national security risks.
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.