The Securities and Exchange Commission (SEC) announced charges against 26 broker-dealers, investment advisers, and dually-registered firms for widespread and longstanding failures to maintain and preserve electronic...more
8/20/2024
/ Broker-Dealer ,
Cease and Desist Orders ,
Civil Monetary Penalty ,
Electronic Communications ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Securities Violations
New Rule 14Ad-1 takes effect on July 1, 2024, with filing of Form N-PX due on August 31, 2024, for votes during the July 1, 2023 to June 30, 2024 reporting period. ...more
6/24/2024
/ Compliance ,
Filing Requirements ,
Form 13F ,
Institutional Investors ,
Investment Adviser ,
Investment Management ,
Registered Investment Advisors ,
Required Forms ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act