An investment adviser settled SEC charges for disclosure and conflict of interest violations related to mutual fund share classes offered through a no-transaction fee program in wrap accounts.
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A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
A dual-registrant settled SEC charges for (i) failing to adequately train its financial advisers on a complex options strategy sold to clients, and (ii) failing to implement a reasonable supervisory system that would provide adequate oversight.
SEC Director of the Division of Investment Management William Birdthistle proposed changes to investment fund rules that would enhance disclosure requirements.
The U.S. Senate confirmed Christy Goldsmith Romero, Kristin N. Johnson, Summer Kristine Mersinger, and Caroline D. Pham to serve as CFTC Commissioners.