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27 Nov 2023, 7:44 am
He has been in the business since 2004. [read post]
16 Nov 2023, 6:28 am
The firm and its principal failed to establish, maintain, and enforce a supervisory system to oversee the outside business activities (OBAs) of their registered representatives. [read post]
15 Nov 2023, 6:26 am
The Securities and Exchange Commission filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
14 Nov 2023, 6:31 am
Vanguard also says that its funds may vote in favor of such proposals as long as ratification after the fact is permitted. [read post]
14 Nov 2023, 6:31 am
Vanguard also says that its funds may vote in favor of such proposals as long as ratification after the fact is permitted. [read post]
9 Nov 2023, 9:01 pm
This was about 18 months after Scott had been promoted to Associate Director in our Division of Enforcement. [read post]
8 Nov 2023, 9:05 pm
Jackson, A System of Fiduciary Protections for Mutual Funds, in Fiduciary Obligations in Business (Arthur Laby & Jacob H. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
5 Nov 2023, 3:10 pm
Reasonable cause means an act or omission in which a covered. entity or business associate knew, or by exercising reasonable diligence would have known, that the act or omission violated an administrative simplification provision, but in which the covered entity or business associate did not act with willful neglect. [read post]
3 Nov 2023, 11:39 am
is Associate Counsel of NFS Leasing, Inc., where he is responsible for managing NFS leasing’s litigation. [read post]
1 Nov 2023, 3:15 am
The National Association of Manufacturers has also filed an amicus brief in this case. [read post]
31 Oct 2023, 4:07 am
" November 29, 2023 - 11 AM [In person]: Growmark, Inc. v. [read post]
30 Oct 2023, 6:31 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Editor's Note: Alyssa Stankiewicz is an Associate Director of Sustainability Research and Lindsey Stewart is a Director of Investment Stewardship at Morningstar, Inc. [read post]
30 Oct 2023, 6:31 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Editor's Note: Alyssa Stankiewicz is an Associate Director of Sustainability Research and Lindsey Stewart is a Director of Investment Stewardship at Morningstar, Inc. [read post]
25 Oct 2023, 7:17 pm
Grayson Enterprises, Inc., 950 F.3d 386, 408 (7th Cir. 2020). [read post]
24 Oct 2023, 9:01 pm
Your businesses and operations change, risk areas change, and enforcement priorities change. [read post]
22 Oct 2023, 11:03 pm
Reprinted with permission from the NYS Bar Association, this article first appeared in the EASL Journal, 2023, vol. 34, no. 1. [read post]
20 Oct 2023, 2:40 pm
On September 1, 2023, the Managed Funds Association, along with a number of other organizations, jointly filed a lawsuit against the SEC to prevent the adoption of the finalized rules, claiming the SEC has overstepped its authority and that these changes may increase costs, reduce opportunity, and harm both private funds and their investors. [read post]
