Securities and Exchange Commission Archives - Page 3 of 28 - AltsWire

SEC to Examine Fiduciary Duty, Conduct Standards, Cybersecurity, and AI in 2025

SEC to Examine Fiduciary Duty, Conduct Standards, Cybersecurity, and AI in 2025

October 22, 2024

SEC Charges Rimar Capital and Execs With ‘AI Washing’ in Fraudulent Investment Scheme

SEC Charges Rimar Capital and Execs With ‘AI Washing’ in Fraudulent Investment Scheme

October 14, 2024

Interval Funds on Pace to Reach $100 Billion Aggregate NAV by Year’s End

Interval Funds on Pace to Reach $100 Billion Aggregate NAV by Year’s End

October 11, 2024

Axxes Capital Opportunistic Credit Fund Declared Effective, Offers Three Share Classes

Axxes Capital Opportunistic Credit Fund Declared Effective, Offers Three Share Classes

October 7, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

SEC Charges Trio in N.Y. Metropolitan Area for $120 Million Pre-IPO Fraud Scheme

SEC Charges Trio in N.Y. Metropolitan Area for $120 Million Pre-IPO Fraud Scheme

October 1, 2024

Silver Star to Lose Schwab as Custodian, Provides NAV Update

Silver Star to Lose Schwab as Custodian, Provides NAV Update

September 27, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

SEC Charges Sale Leaseback Program Distributors With Defrauding Investors of $5 Million

SEC Charges Sale Leaseback Program Distributors With Defrauding Investors of $5 Million

September 24, 2024

SEC Charges Broker-Dealer First Horizon With Reg BI Violations

SEC Charges Broker-Dealer First Horizon With Reg BI Violations

September 23, 2024

SEC Orders Firms to Pay $3.4 Million in Penalties for Forms 13F, 13H Reporting Failures

SEC Orders Firms to Pay $3.4 Million in Penalties for Forms 13F, 13H Reporting Failures

September 23, 2024

SEC Fines Macquarie RIA Subsidiary $80 Million for Overvaluing Assets and Engaging in Unlawful Cross Trades

SEC Fines Macquarie RIA Subsidiary $80 Million for Overvaluing Assets and Engaging in Unlawful Cross Trades

September 20, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

SEC Crackdown on Off-Channel Communications Continues With Charges Against 12 More Adviser Firms

SEC Crackdown on Off-Channel Communications Continues With Charges Against 12 More Adviser Firms

September 18, 2024

SEC Settles Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity

SEC Settles Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity

September 13, 2024

SEC Charges Tennessee RIA and Its Owner With Religious Affinity Fraud

SEC Charges Tennessee RIA and Its Owner With Religious Affinity Fraud

September 11, 2024

SEC Settles Charges Against Nine RIAs for Marketing Rule Violations

SEC Settles Charges Against Nine RIAs for Marketing Rule Violations

September 10, 2024

SEC Settles Charges Against Crypto-Focused Galois for Custody Failures, Inconsistent Redemption Practices

SEC Settles Charges Against Crypto-Focused Galois for Custody Failures, Inconsistent Redemption Practices

September 6, 2024

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

September 5, 2024