Tag: Share Class Selection

The Commission appears to have made the typical year end push to file cases. On Wednesday Part I of this series reviewed a number of those actions, primarily civil injunctive actions filed on the last day of the fiscal year. …

The SEC’s Drive to Year End: Large Groups of Cases Filed, Part III Read More »

Tagged with: , ,

The retail investor focus of the current SEC Enforcement Program was on full display as the Division announced the return of over $125 million to investors from advisers participating in the Share Class Selection Disclosure Initiative announced about one year …

Results from the SCSDI: $125M for Investors, No Penalty for 79 Advisers Read More »

Tagged with: , ,