Tag: investment advisers

This is the first part of a two part series reviewing the results of the Commission’s enforcement program for the first two quarters of 2021. The second part of this article will be published tomorrow. Introduction If the theme for …

SEC Enforcement: A Review of 2Q21 (Part I) Read More »

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Investment advisers have become a primary focus of Commission enforcement actions in recent years. The trend began several years ago and continues. Now each year cases involving investment advisers are one of the largest categories of cases brought by the …

Investment Advisors in the Cross-Sights Read More »

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