The SEC told a judge in Boston on Tuesday that a news release it issued on an advisor accused of a fake hedge fund scheme would not taint the advisor's separate criminal trial on a tax matter.
What are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.
Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis.
a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...