Elizabeth Baxter

Elizabeth Baxter

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SEC Settles Enforcement Proceedings Against Adviser Regarding Alleged “Pay-to-Play” Political Contribution (Updated)

On August 19, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for alleged violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule...more

10/17/2024  /  Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC)

SEC Settles Enforcement Proceedings Against Adviser for Alleged Whistleblower Protection Rule Violations

On September 26, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for various alleged violations of Rule 21F-17(a) under the Securities Exchange Act of 1934,...more

10/16/2024  /  Enforcement Actions , Non-Disclosure Agreement , Securities and Exchange Commission (SEC) , Settlement Agreements , Whistleblower Protection Policies , Whistleblowers

SEC Settles Enforcement Proceedings Against Adviser Regarding Alleged “Pay-to-Play” Political Contribution

On April 15, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for alleged violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule...more

5/13/2024  /  Government Officials , Pay-To-Play , Political Contributions , Securities and Exchange Commission (SEC)
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