SEC Operations

During my tenure, I have been repeatedly concerned about the binary nature of granting or denying waivers. Today’s action represents a different and more outcome-focused ...

In a case that has rattled Wall Street’s nerves, the SEC Dec. 16th gave Third Avenue Management ($9.9B in AUM) in New York permission to ...

When the trail of an alleged pump-and-dump scheme appeared to lead to a bank in the Cayman Islands and a trading firm in Panama, the ...

Shamoil Shipchandler, recently named regional director of the Securities and Exchange Commission based in Texas, has an interesting philosophy when it comes to how GPs ...

My advice to new Commissioners not familiar with the inner workings of the SEC is to make sure your counsels have that familiarity. Each Commissioner ...

Bowing to judicial reality in the wake of the Newman decision (IA Watch, Oct. 15, 2015), the SEC two days before Thanksgiving dismissed its insider ...

The SEC grounded the launch of its Tick Size Pilot for five months following industry complaints about a lack of guidance from regulators and exchanges ...

While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory ...

Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiring third-party compliance ...

We strongly object to the SEC’s reported recommendation to set up a fair fund, for a number of reasons. Fair funds can play an important ...