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Tag: Commodity Futures Trading Commission
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
September 28, 2022
Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion On Tuesday, September 27, 2022, the Securities and Exchange Commission announced charges against 15 broker-dealers and...
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SEC Proposes to Enhance Private Fund Reporting
August 10, 2022
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity...
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