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SEC Charges San Diego-Based Investment Adviser

The Securities and Exchange Commission today announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors and bre...

SEC Names David Gottesman as Deputy Chief Litigation Counsel

The Securities and Exchange Commission today announced the appointment of David J. Gottesman as deputy chief litigation counsel in the Division of Enforcement. Mr. Gottesman joined the SEC in 2004 and was promoted to a su...

SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank

The Securities and Exchange Commission today announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond trading business of a state-owned Vene...

Staff Letter: RS Global Natural Resources Fund

No-action relief under Section 15(a) of the Investment Company Act

Guidance Update: Multi-Manager Funds – Aggregate Advisory Fee Rate

Multi-Manager Funds – Aggregate Advisory Fee Rate

Staff Letter: First Trust Dividend and Income Fund

Omission of Shareholder Proposal under Rule 14a-8