SEC Actions

This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more

Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...

OCIE seeks to add four positions to examine for compliance with new fiduciary duty rules and cybersecurity

More than 2,000 transactions did not contain any provisions to satisfy the Pre-Release Obligations

Jay Costa Kelter was sentenced to a prison term of 29 months

SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...

The CCO was the only person capable of entering a security in the electronic order management system to prevent trading

Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities

The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’

The latest proposed revision to the Volcker rule