Reference
SEC Enforcement Actions
- Advertising - Performance - Social Media
- Advisory Fees
- Books & Records
- Brokerage and Trading
- Compliance Programs
- Cross Trades
- Custody Cases
- Cybersecurity
- Disqualified and ineligible firms and individuals
- Failure to Supervise
- Foreign Currency
- Fraud - False Account Statements
- Fraud - Misappropriation
- Fraud - Omissions
- Front Running
- Gifts and Entertainment Actions
- Insider Trading Actions
- Omnibus Accounts
- Pay-to-Play Actions
- Personal Trading
- Principal Transactions
- Registration and Exemptions
- Statistics
- Trade Allocation
- Web Sites
- Whistleblower Awards
- Wrap Account Actions