Tag: investment advisers

SEC Focus on Retail Investors Yields Actions Against Advisers

A key focus of the Commission and its Enforcement program is retail investors. This has resulted, in part, in a significant number of actions against investment advisers. This week is no exception. Four settled actions were brought based on the

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SEC Sanctions 13 Private Fund Advisers For Filing Failures

Since at least the issuance of the report by the Commission’s Enforcement Division last November, the emphasis has been on retail investors and cyber. The “number of cases filed” focus of broken windows, which for years generated increasing numbers of

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