SEC Issues Largest-Ever Whistleblower Award


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SEC Issues Largest-Ever Whistleblower Award
The Securities and Exchange Commission today announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. This is the highest award in the SEC’s…

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SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs


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SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs
The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. Schmitz for breach of…

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SEC Adopts Amendments to Enhance Private Fund Reporting


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SEC Adopts Amendments to Enhance Private Fund Reporting
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments are designed to enhance the ability of the Financial Stability…

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SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting


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SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a…

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SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management


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SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management
The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. The conference will bring together a variety of…

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Eric R. Werner Named Director of Fort Worth Regional Office


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Eric R. Werner Named Director of Fort Worth Regional Office
The Securities and Exchange Commission today announced that Eric R. Werner has been named Regional Director of the Fort Worth Regional Office, effective immediately. Mr. Werner is currently the Acting Co-Regional Director and has served as the Associate…

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