Enforcement News: The Custody Rule
- Aug 6 2025
By: Jeffrey M. Haber The Custody Rule provides that “it is a fraudulent, deceptive, or manipulative act, practice or course of business within the meaning of section 206(4) of the …
Posts Tagged ‘ Investment Advisers Act ’
Enforcement News: SEC Charges Investment Adviser and His Firm with Violating Prior Settlement, Causing $1.6 million in Damages to Fund
- Mar 24 2025
By: Jeffrey M. Haber An investment company is a company that issues securities and primarily invests in securities. Among the securities laws applicable to investment companies, is the Investment Company …
Enforcement News: SEC Brings Enforcement Action Against Investment Adviser and Firm for Not Disclosing Increased Fees
- Feb 26 2025
By: Jeffrey M. Haber An investment adviser is a fiduciary, and as such is held to the highest standard of conduct and must act in the best interest of his/her …
Enforcement News: Retail Investors to Receive More Than $125 Million Under the SEC’s Share Class Selection Disclosure Initiative
- Mar 13 2019
On March 11, 2019, the Securities and Exchange Commission (“SEC” or “Commission”) announced (here) that it had settled charges against 79 investment advisers who agreed to return more than $125 …
