Year: 2020

The Share Class Selection Disclosure Initiative, launched in 2018, has become one of the Enforcement Division’s most successful, recent cooperation initiatives. The Initiative focused on the conflict that arises from undisclosed fees paid when investment advisers recommend mutual funds shares …

SEC Enforcement Concludes Successful Cooperation Initiative Read More »

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While offering fraud actions are a key staple of the Commission’s main street investor focused Enforcement program, many involve public entities. Indeed, the agency is typically thought of in the context of public companies and exchanges. The latest case in …

SEC: Marijuana Deal is Just Another Offering Fraud Read More »

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