Congressional Activity

The money may spur more whistleblower awards because the law requires the Commission to spend the money by Oct. 2022 or any of the remaining ...

"The SEC’s Divisions of Investment Management, Examinations, and Enforcement continue to focus on advisers to private funds. It is important to hold investment advisers accountable ...

"Several hedge funds lost significant money during these events. Though it doesn’t appear to have triggered broader market events, at least one fund had to ...

Her committee has moved to increase penalties for violations of the Investment Advisers Act; order the SEC to test the effectiveness of required disclosures issued ...

If confirmed, Bowes could serve until 2025

Her focus at the SEC has included investment management and she represented investment advisers as a private practice attorney

If certain rules are followed, the loan turns into a grant

The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...

During my time of service, it has been a priority to transform the CFTC into a 21st Century regulator for today’s digital markets. With ...

It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers. ...