• FINRA's Proposed Pay-to-Play Rule Will Impact Investment Advisers
  • Fair Warning — SEC’s 2016 Examination Priorities


  • Recommendations of 12b-1 Funds to Clients Results in Enforcement Action
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  • SEC Charges Lobbyist and Bank Pays $12 Million to Settle Pay-to-Play Claim
  • Why Transparency is Essential for Investment Advisers and Funds