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Exempt Reporting Advisers Faced Significantly More SEC Enforcements In 2022 - Securities

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 — that appears to be more than the prior three years.

New yorkUnited statesCity of new yorkSean wygovskyUniversity of californiaDivision of enforcementHighland capital partnersAlumni ventures groupHelikon investments ltdFormula growth ltdCorona associates capital managementCanaan managementSparklabs global ventures managementEnergy innovation capital managementExchange commissionBradway capital management

Exempt Reporting Advisers Faced Significantly More SEC Enforcements in 2022 | Goodwin

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 that appears to be more than the prior.

New yorkUnited statesCity of new yorkSean wygovskyDivision of enforcementHighland capital partnersAlumni ventures groupFormula growth ltdHelikon investments ltdCorona associates capital managementRegents of the university californiaCanaan managementSparklabs global ventures managementEnergy innovation capital managementExchange commissionBradway capital management

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