SEC Operations

The SEC has named Marc Wyatt to be the acting director of OCIE after this week's announcement that Andrew Bowden will be leaving the agency at ...

Speaking last month at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...

That didn’t take long. The House Committee on Financial Services has criticized President Obama’s FY2016 budget and homed in on the SEC’s 15% requested increase ...

The SEC has turned “a blind eye” to repeated violations by Oppenheimer & Co. ($8.6B in AUM) and departed from its “long-established” criteria when it ...

A top priority of the SEC’s fiscal year 2016 budget is the hiring of an additional 225 examiners, primarily to conduct inspections of investment advisers. ...

A 20-year SEC veteran has been named acting director of the Commission’s Division of Investment Management. David Grim takes over for the division’s former director ...

Many SEC examination document request letters ask advisory firms for a copy of their organization chart. But finding an org chart for the Commission is ...

The SEC’s Director of the Division of Investment Management Norm Champ will be leaving the Commission at the end of this month. Champ, a former ...

For the second year in a row, SEC enforcement actions against investment advisers and investment companies have dropped, according to new data from the Commission. ...

The next Compliance Outreach Program National Seminar for broker-dealers’ will be hosted by the SEC in March. Investment advisers, however, will have to wait until ...