On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of Regulation Best Interest...more
8/21/2025
/ Broker-Dealer ,
Cease and Desist Orders ,
Compliance ,
Conflicts of Interest ,
Enforcement Actions ,
Fiduciary Duty ,
Investors ,
Penalties ,
Policies and Procedures ,
Regulation Best Interest ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Although certain enforcement priorities of the U.S. Securities and Exchange Commission (SEC) have shifted under new Chairman Paul S. Atkins, the SEC continues to scrutinize investment advisers’ disclosures regarding the fees...more
On May 20, 2025, as part of the annual “SEC Speaks” program, the leadership of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement publicly discussed the enforcement priorities under new Chairman Paul...more
5/22/2025
/ Corporate Governance ,
Enforcement Actions ,
Enforcement Priorities ,
Fiduciary Duty ,
Fraud and Abuse ,
Insider Trading ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
Whistleblower Protection Policies ,
Whistleblowers