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The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.
October 3
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After helping to lead a crackdown on the cryptocurrency industry and Wall Street's use of off-channel communications, Gurbir Grewal is leaving the SEC.
October 3
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Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.
February 16
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Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."
February 14
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The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.
July 30
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The case in unusual because of Coinbase's high profile in the U.S. and status as a publicly traded company.
June 6
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The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.
May 15
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The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.
February 22
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Some funds touting their environmental and socially responsible investments may be exaggerating.
September 1
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Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.
August 31
