SEC Operations

This proposal would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the ...

This online resource, which will be updated regularly, will bring together information about our rules in a single site where the public can more easily ...

Today, the Commission is again compelled to issue another exemption and exception affecting SBS intermediaries—the tenth over the last four years—because it has not yet ...

I believe there are certain opportunities in this data-driven world for accountants to lead and provide new approaches to the traditional disclosure space, including by ...

In May I submitted my resignation to the President, effective on the appointment of my successor. Over the succeeding months, the need to bring greater ...

Mark Lay sits in prison after a fraud conviction and a sentence due to run through 2018. The former investment adviser likely saw his last ...

The staff could be directed to provide periodic reports to the Commission detailing relevant information about the waiver process, including: (i) a list of ...

A U.S. District Court judge Aug. 3 dismissed an SEC motion to dismiss a challenge to its administrative proceedings process. The decision allows the defendant ...

If you’re among those who didn’t know that a defendant who prevails in an SEC enforcement action could seek the government to pay his attorney’s ...

Given that many state public pension plans invest in private equity funds, a collection of 12 state treasurers – from California to Vermont – have ...