Tag: disclosure
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SEC Charges Investment Adviser Zoe Financial Over Undisclosed Conflicts of Interest
The SEC announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts about conflicts of interest to clients and prospective clients.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionZoe Financial Inc.investment adviserconflict of interestsettled chargesNew Yorkdisclosure
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SEC Office of Municipal Securities Issues Statement on Non-Solicitor Municipal Advisors' Role in Disclosure
The SEC's Office of Municipal Securities has published a new statement addressing the role non-solicitor municipal advisors play in disclosure, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionOffice of Municipal Securitiesmunicipal advisorsdisclosuremunicipal securitiesregulationWashington, DC
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Media Monitor: Trump Family Drops IRS Lawsuit
USA TODAY reports that President Donald Trump and his family withdrew a $10 billion lawsuit against the IRS, which had been filed over the disclosure of his tax returns.
Politics and GovernmentLaw EnforcementBusinessGeneral PoliticsFederal GovernmentLegalEconomy Donald TrumpIRSlawsuittax returnsdisclosureLegal IssuesGovernmentUSA TODAY