SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management - The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a...

SEC Issues Second Fee Rate Advisory for Fiscal Year 2024 - The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will...

SEC Charges Five Investment Advisers for Marketing Rule Violations - The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. The...

Register for the SEC’s 43rd Annual Small Business Forum April 16-18 - The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from...

SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures - The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged...