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SEC Disciplines RIA for Failure to File Form 13Fs

by | Sep 28, 2023 | 13F, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Division of Enforcement, policies and procedures, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC NEWS, Securities Exchange Act, State Investment Adviser Compliance

On September 13, 2023, the SEC brought an enforcement action against a Registered Investment Adviser (RIA) with investment discretion over more than $100 million of reportable securities. The RIA, which has offices in New York, New York, and West Palm Beach, Florida,...