The SEC permanently suspended an exemption from registration that had been granted to an investment trust after it failed to promptly commence offerings following qualification of the exemption.
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In a Risk Alert, the SEC Division of Examinations warned advisers to review their marketing practices and advertisements to ensure compliance with the recently amended Advisers Act Marketing Rule.
The Managed Funds Associations urged the U.S. Court of Appeals for the Eleventh Circuit to reject a lower court's finding that construed the term "dealer" in an overly broad manner.
A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
The Federal Reserve Board, CFPB, FDIC, National Credit Union Administration and OCC proposed risk management guidance for financial institutions on incorporating "reconsiderations of value" for residential real estate transactions.