SEC Actions

No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...

To assist potential applicants for substituted compliance under Rule 3a71-6, staff has prepared guidance regarding applications for substituted compliance

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...

The SEC has turned aside a request from the nation’s largest stock exchanges to hold the Commission’s new market data infrastructure rules but it’s only ...

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

This agenda, published in the March 31 Federal Register, may well become outdated once Gary Gensler formally assumes the chairmanship of the SEC

SEC regulators have issued a new statement underlining requirements and restrictions on the booming special purpose acquisition company industry. In a March 31 statement from ...

The staff is withdrawing staff statements relating to Investment Company Act section 18 and section 12(a) , including staff letters as shown in Appendix A, ...

"These updates will be reflected in the Accounting Matters Bibliography on our website,3 which reflects all positions taken in Dear CFO letters since 1994, including ...