"That’s why I have felt so privileged to lead this mission-driven agency these past four years and do my part on behalf of the American ...
"For too long, misguided efforts to shield retail investors from risk have prevented them from directly accessing private market opportunities. Exploring how retail investors can ...
"I am particularly mindful of the costs associated with the use of mandatory arbitration clauses by investment advisers"
The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination
Morgan Stanley failed to adopt and implement P&Ps reasonably designed to prevent and detect unauthorized externally-initiated ACH payments
"As the FSOC annual report highlights, certain large multi-strategy and macro hedge funds are significantly leveraged, receiving the vast majority of their repo financing in ...
More than half of the financial remedies came from cases against Terraform Labs and founder
While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question
Find out about states' efforts to regulate AI, SEC hits a new record, guidance for social media posts and much more
"We at the SEC have a duty to investors and issuers alike to regularly update our rules to drive greater efficiency and resiliency in the ...