Tag: investment advisers

Regulation Best Interest, the long studied and discussed Commission rule that addressed the standards governing broker-dealers when making an investment recommendation was challenged by in a suit filed by seven states and the District of Columbia. State of New York …

Suit by States Challenges SEC Regulation Best Interest Read More »

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Traditionally the Enforcement Division’s case load centered on corporate and disclosure cases along with a mix of others. In recent years that mix has included a number of offering fraud actions whose victims are often small retail investors. More recently …

SEC Charges Advisor With Fraudulently Overcharging Clients Read More »

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