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The Securities and Exchange Commission today filed settled charges against affiliated registered investment advisers WBI Investments Inc. and Millington Securities Inc. for making material misrepresentations to clients about compensation MillingtonSource: Securities Exchange Commission
31 minutes ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced that Division of Enforcement Co-Director Steven Peikin will leave the agency on Aug.14, 2020. During his more than three years serving alongside Co-Director Stephanie Avakian, Mr. PeikinSource: Securities Exchange Commission
2 hours ago · From Securities Exchange Commission
The Securities and Exchange Commission today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory Committee. Candidates for vacancies on the Committee will be identified by a nominatingSource: Securities Exchange Commission
3 hours ago · From Securities Exchange Commission
The Securities and Exchange Commission today proposed comprehensive modifications to the mutual fund and exchange-traded fund disclosure framework to better serve the needs of retail investors. The proposed disclosure framework would feature concise andSource: Securities Exchange Commission
4 hours ago · From Securities Exchange Commission
The Federal Trade Commission testified today at an oversight hearing before the Senate Committee on Commerce, Science, and Transportation about the agencys work to protect consumers and promote competition, including its efforts to combat frauds designed to take advantage of consumers during the COVID-19 pandemic.Testifying on behalf of the Commission, FTC Chairman Joseph Simons and Commissioners Noah Joshua Phillips, Rohit Chopra, Rebecca Kelly Slaughter, and Christine S. Wilson also described …
5 hours ago · From FTC - Consumer Protection