SEC Operations

The thing I always worried about was what I did not know. I never thought ignorance was bliss. I believed that I and ...

One important area we are focused on is whether the disclosure regime for registered funds has evolved sufficiently in response to the changing types of ...

IA Watch recently ran across an RFP from the SEC that could lead to a process for the agency to better hear from investors and ...

Don’t expect the SEC to “micromanage” your approach to cybersecurity. For example, it’s up to you whether you wish to pay for a penetration test. ...

I also very much welcome your discussion this afternoon of Regulation D, one of the primary engines of capital formation in this country. Approximately ...

In light of this history, what is the best way to supplement the definition of “accredited investor”? The staff of the Division of Corporation ...

It is thus critically important that advisers disclose all material information, including conflicts of interest, to investors at the time their capital is committed. While ...

Importantly, in implementing our statutory crowdfunding mandate, the SEC’s rules seek to maintain strong investor protections, while also streamlining capital formation for smaller issuers. These ...

Disclosure, and our concept release, are both still stuck in the paper world. Sure, you can view the reporting forms on the Internet, and ...

It seems everyone has someone looking over his shoulder these days making sure information security and cybersecurity programs are locked down – including the SEC. ...