"Today’s amendments build on more than 20 years of Commission actions to modernize filing and recordkeeping requirements"

"The Commission’s apparent insatiable appetite to obtain and store more and more surveillance data in its systems grows with each rulemaking—with little consideration on issues ...

Catalyst was registered with the Commission as an investment adviser and managed private fund assets of at least $150 million as of the end of ...

The information collected on Form PF is important to financial regulators

NFC willfully violated Rule 204(b)-1 under the Advisers Act, which requires investment advisers registered or required to be registered under Section 203 of the Advisers ...

The statements in paragraphs 19 through 22 were materially misleading, given that Cantor personnel had already had substantive discussions on behalf of CFAC II with ...

"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"

"When charging SPACs with disclosure violations, the Commission should be mindful of the unique nature of SPACs and how they differ from operating companies"

'We are living in an age of financial nihilism, where the zeitgeist rewards gambling and risk, and prudence is punished,' Armada ETFs CEO Phil Bak ...

'If private is safe and risky, and public is safe and risky, why do we think they’re any different?' Apollo Chief Executive Marc Rowan tells ...