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

Enforcement

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