SEC Operations

The latest effort by the SEC’s Division of Investment Management to encourage mutual fund, ETF and registered investment company advisers to disclose concerns about interest ...

A new office within the SEC’s Office of Compliance Inspections and Examinations will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams. ...

You can now register for the SEC’s national compliance outreach seminar slated for April 19 at Commission headquarters in Washington, D.C. In-person registration is limited ...

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...

Where do we go from here? The SEC needs to evaluate the cumulative impact of all of these new rules on the securitization markets. ...

The Accredited Investor definition is another important subject for us and for many across the small business community. I know this is an area of ...

For example, how will Reg A+ and Reg Crowdfunding work in practice? What are the best metrics we can develop to measure whether or not ...

Last year was one of great accomplishment for the agency. Enforcement and our National Exam Program again had record years. Not only did ...

Indeed, even plain-vanilla, equity index ETFs may present risks that are not always anticipated or fully understood, as evidenced by the events of August 24, ...