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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
3 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
an hour 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
2 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
At todays meeting of the Small Business Capital Formation Advisory Committee, the Securities and Exchange Commission announced the appointment of two new members to the Committee: Kesha Cash, Founder and General Partner, Impact America Fund SueSource: Securities Exchange Commission
Yesterday · From Securities Exchange Commission