SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China Scheme
Among recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.
U.S. Securities and Exchange Commission Information
This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Advisers Act. It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.