Month: October 2012

Two Actions Against Investment Advisers

The Commission filed two settled administrative proceedings this week against investment advisers. Each centered on the disclosures made to clients. One involved advertisements while the other involved the fees charged. The first named as a respondent BTS Asset Management, Inc.,

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The War On Insider Trading Continues

The SEC and the DOJ have been conducting a high profile war on insider trading which has spawned dozens of criminal and civil cases and put many in prison while staking up the penalties and fines. Just last week, for

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