Todd Cipperman (@Cipperman) profile picture

Todd Cipperman

@Cipperman

Todd Cipperman is the founding principal of both Cipperman & Company (CipCo) and Cipperman Compliance Services (CCS).

 Wayne, PA
cippermancs.com
Joined July 2010
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BDC Censured for Mischaracterizing Distributions as Income Rather than Return of Capital cipperman.com/2018/12/10/bdc…
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SEC Re-Considering Adviser Marketing and Advertising Rules cipperman.com/2018/12/07/sec…
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Compliance Failures Cost BDC Manager $4 Million in Penalties and $2.6 Billion in Assets cipperman.com/2018/12/05/com…
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SEC Allows Broker-Dealer Fund Research Reports cipperman.com/2018/12/03/sec…
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Federal Court Rules that the SEC Must Prove that Digital Tokens are Securities cipperman.com/2018/11/28/fed…
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BD Fined $2.75 Million for Omitting Customer Complaints from Forms U4 and U5 cipperman.com/2018/11/27/bd-…
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SEC Fines Two Initial Coin Offerings cipperman.com/2018/11/26/sec…
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Top 5 Regulatory Alerts – October 2018 cipperman.com/2018/11/21/top…
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Advisory Clients Did Not Receive Promised Fee Breaks cipperman.com/2018/11/20/adv…
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CFTC Penalties Nearly Triple in Fiscal 2018 cipperman.com/2018/11/16/cft…
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Dark Pool Fined $12 Million for Sending Trade Data to HFTs cipperman.com/2018/11/15/dar…
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SEC Says that Digital Tokens are Securities; Requires Trading Platform to Register as Exchange cipperman.com/2018/11/14/sec…
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CCOs Liable for Failing to “Meaningfully” Implement Compliance Programs cipperman.com/2018/11/12/cco…
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SEC Is Examining Registered Funds and ETFs for Oversight, Policies, and Conflicts cipperman.com/2018/11/09/sec…
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Insufficient Compliance Resources Cost Firm and CEO cipperman.com/2018/11/08/ins…
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SEC Adopts Disclosure Rules for Trade Routing cipperman.com/2018/11/06/sec…
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SEC Filed 32% More Enforcement Cases Against Advisers and Funds in Fiscal 2018 cipperman.com/2018/11/05/sec…
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The Friday List: 10 Adviser Marketing Practices to Avoid cipperman.com/2018/11/02/the…
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SEC Warns Advisers about Solicitation Rule Violations cipperman.com/2018/11/01/sec…
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