SEC Operations

The SEC continues to fill key senior key positions that should result in increased rulemaking. The latest move was the Oct. 18 Commission announcement that ...

After considering our market structure accomplishments over the past few years, and the potential we have for work in this space given the Commission’s current ...

For SEC nominee Hester Peirce it looks like the long wait for a confirmation hearing on Capitol Hill is almost over.  Confirmation hearings for both ...

In a highly anticipated OCIE risk alert released last month, the National Exam Program called out that cybersecurity remains one of the top risks for ...

Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...

Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...

They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...

Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...

October 2015. That’s the last time the SEC consisted of its full five commissioners. President Trump’s nomination of Columbia University Law Professor Robert Jackson to ...

We know there are many CCOs who want to improve compliance at their firms.We also know that CCOs are busy and bear a lot of ...