SEC

Fee disclosure cases account for jump in SEC enforcement Fallback Image Decorative pattern

Industry

Fee disclosure cases account for jump in SEC enforcement

SEC also enjoyed a record level of co-operation in its enforcement efforts

By James Langton |November 20, 2019

2 min read

U.S. federal government shutdown didn’t slow down the SEC Fallback Image Decorative pattern

Industry

U.S. federal government shutdown didn’t slow down the SEC

The agency reports enforcement action and sanctions surged in 2019

By James Langton |November 6, 2019

2 min read

SEC proposals aimed at strengthening proxy rules Fallback Image Decorative pattern

Industry

SEC proposals aimed at strengthening proxy rules

Tougher rules target proxy solicitation and shareholder proposals

By James Langton |November 5, 2019

2 min read

SEC mulls allowing ratings, testimonials in adviser ads Fallback Image Decorative pattern

Industry

SEC mulls allowing ratings, testimonials in adviser ads

Proposals are out for a 60-day comment period

By James Langton |November 5, 2019

2 min read