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Searching Content indexed under Securities by Gail Jankowski ordered by Published Date Descending.
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Recalls Of Loaned Securities By Insurance Dedicated Funds
In March, the SEC sanctioned the investment advisers of two funds supporting variable insurance contracts for inadequate disclosure about the funds' recalls of loaned portfolio securities...
United States
9 Jul 2018
2
SEC Exam Staff: "Surprise, We're Back"
In August, Kevin Kelcourse, the associate director for examinations at the SEC's Boston Regional Office, confirmed that his office has been making "surprise" examination visits to registered advisers in the region.
United States
11 Jan 2018
3
Supreme Court To Resolve Whether Failure To Disclose Under Item 303 Of SEC Regulation S-K Gives Rise To Securities Fraud Claims
On March 27, 2017, the Supreme Court granted certiorari in the case of Leidos Inc., f/k/a SAIC Inc. v. Indiana Public Retirement System, a securities fraud class action.
United States
13 Apr 2017
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