Richard Matta

Richard Matta

Groom Law Group, Chartered

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SEC Enforcement on Common and Collective Trusts Catches Many by Surprise

On October 1, 2020, the Securities and Exchange Commission (“SEC”) made substantial waves when it published a Cease and Desist Order (“Cease and Desist Order”) regarding the Great Plains Trust Company (“GPT”) that primarily...more

10/8/2020  /  Blue Sky Laws , Cease and Desist Orders , Employee Retirement Income Security Act (ERISA) , Investment Company Act of 1940 , OCC , Registration Requirement , Revocable Trusts , Securities Act of 1933 , Securities and Exchange Commission (SEC)
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