SEC Operations

SEC Chair Mary Jo White has asked Commission staff to conduct an evaluation of the concept of permitting third party audits or compliance reviews of ...

The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...

As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...

The SEC’s Office of Compliance Inspections and Examinations has named Marc Wyatt as its new deputy director. He’s been with the Commission since December 2012 ...

The SEC’s Investor Advisory Committee last week approved sending recommendations to the full Commission that would topple the current rules for verifying an accredited investor. ...

The U.S. Securities and Exchange Commission may consider significant changes to the definition of “accredited investor” pending a recommendation of an Investor Advisory Committee. The ...

Looks like the SEC has declared defeat in its battle to get the Securities Investor Protection Corporation to insure against investor losses incurred in the ...

The SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay for more ...

Securities Exchange Act of 1934Section 4 -- Securities and Exchange Commission Establishment; composition; limitations on commissioners; terms of officeThere is hereby established a Securities and ...

(a) ESTABLISHMENT AND PURPOSE.— (1) ESTABLISHMENT.—There is established within the Commission the Investor Advisory Committee (referred to in this section as the ‘‘Committee’’). (2) PURPOSE.—The ...