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The SEC's Division of Enforcement issued answers to frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative, providing additional information about adviser eligibility....

Certain aspects of the securities laws require disclosure as to a spouse. For example, Section 16 reporting includes the spouse of the person responsible to report.

The Divisions of Trading and Markets provided guidance on the commission’s final rule implementing Section 13 of the Bank Holding Company Act of 1956.

The SEC Office of Compliance Inspections and Examinations issued a risk alert regarding investment advisers and investment companies that outsource their Chief Compliance Officer (CCO) duties to unaffiliated third-parties.

The SEC's Division of Enforcement announced the Share Class Selection Disclosure Initiative, a self-reporting initiative designed ...

Scott Gluck published "SEC Lifts Ban on General Solicitations – Then Proposes Regulations" in the September 2013 edition of Middle Market Growth, an Association of Corporate Growth publication.

On August 24, the SEC announced that it was reducing the fees it charges issuers to register their securities.

On February 27, the Securities Exchange Commission (SEC) modified the submission deadlines for registered investment companies filing non-public monthly reports on Form N-PORT. Form N-PORT

The SEC, the MSRB and FINRA opened registration for the Compliance Outreach Program for Municipal Advisors to be held from 3:00 p.m. to 4:30 p.m. Eastern time on November 10, 2016 as a live webcast available on the MSRB website.

The SEC named Stephanie Avakian and Steven Peikin as Co-Directors of the SEC Division of Enforcement. Ms. Avakian was Acting Director of the Division of Enforcement.

The SEC appointed Ernesto A. Lanza the Acting Director for the Office of Municipal Securities ("OMS").

Ms. Kimmel previously served as the Head of Regulatory and Compliance, Wealth Management at Refinitiv, a provider of financial markets data and infrastructure.

The Securities and Exchange Commission's Division of Economic and Risk Analysis is hosting a session in collaboration with New York University's Salomon Center for the Study of Financial Institutions...

On May 21, the Securities and Exchange Commission (SEC) announced that it obtained a court order halting an ongoing $30 million Ponzi Scheme.

The SEC outlined how it intends to adapt to evolving financial markets and technologies in a new report, Strategic Plan for 2018-2022.

The SEC outlined common types of mutual fund classes and emphasized investor consideration of financial position, time horizon and sales charges when choosing a mutual fund class.

The SEC stayed all outstanding administrative proceedings due to the federal government shutdown.