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I thought I would quickly report to you on two fronts – my customary rulemaking and other initiatives update since your last meeting and then ...
A court’s verdict this summer in the case of Donald Koch, former president/CCO of Koch Asset Management, came in as a split decision for the ...
And that is our objective at the SEC—to bring all wrongdoers to justice and return money to harmed investors. In the wake of the ...
The Division understands that the operation of State escheatment statutes has resulted in States owning Employees’ Securities Companies’ securities. A question has been raised as ...
Against a backdrop of legal challenges – including one decided Sept. 29 – and complaints about the SEC’s administrative proceedings system (IA Watch, Aug. 4, 2015), ...
In recent years, our securities markets have undergone rapid and significant transformation. Just as with a volcano, the forces of change have largely come ...
But the drafters of the Investment Company Act and Investment Advisers Act devised a regulatory structure with a broad and sturdy foundation. The past ...
Commissioners Daniel Gallagher and Michael Piwowar issue a statement about security-based swap rules
We strongly believe that the Commission must finish its work in this area, especially given that the CFTC completed its rules almost two years ago. ...
Advisers Act rule 203(l)-1 (venture capital fund defined) describes a “qualifying portfolio company.” The definition fits into the analysis needed to conclude whether a venture ...
This proposal would adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative ...