SEC Operations

One of the effects we all spend a lot of time talking about – and worrying about—is cybersecurity. Unfortunately, we are all well aware ...

The challenge for the SEC in 2017 is to ensure that its approach to ETPs matures along with the market. Where does this start? ...

Keeping prices of the ETPs in line with their underlying portfolios can be challenging for some types of ETPs. For example, deviations are more ...

The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming from ...

Recently, Commission staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or ...

You knew it was coming and so it has that an investment adviser has formally asked the U.S. Supreme Court to determine the constitutionality of ...

OCIE’s been examined and no deficiencies were found – although its documentation procedures could be improved.   Some advisers will find irony in the new ...

A major decision came down July 25 from the SEC’s Enforcement Division declaring that offerings made via blockchain and other new technologies may well be ...

It’s round two for Hester Peirce. President Trump has nominated her to fill a five-year term as SEC commissioner. If that name sounds familiar, it’s ...

There is a lot of work to do, and this issue is complex. That should not deter us, and we are moving forward. ...