Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
September Surprise: Fiduciary Supporters Lobby the SEC
With new leadership at the SEC, many questions remain unanswered about the Commission’s fiduciary rulemaking. Maybe we'll get some answers during Fiduciary September.
A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law. The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.
Dealings With Qualified Clients and Accredited Investors
Depending upon an RIAs business model and investment strategies, it may be important to identify “qualified clients” and “accredited investors.” The Dodd-Frank Act authorized the SEC to change which clients are defined by those terms.