SEC Operations

Last month, SEC Chair Mary Jo White laid out her vision for what she'd like the Commission to achieve this year (IA Watch, Feb. 3, ...

Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and request ...

You can anticipate SEC commissioners to be busy this year finalizing money market fund reforms, passing new disclosure rules for asset-backed securities and taking final ...

Agreement among lawmakers to support a proposed $1.1 trillion federal budget for this fiscal year not only means no more federal government shutdowns until at ...

Most SEC enforcement actions occur outside a courtroom and result in settlements with the agency. Some are kept confidential. To combat that reality, two senators ...

The date's Thursday, Jan. 30th when SEC headquarters will stage a national compliance outreach meeting for IA CCOs "and other senior personnel." If you can't ...

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...

An unidentified "senior officer" at the SEC found trouble for violating agency rules by not reporting a spouse's holdings but the Department of Justice declined ...

Advisers' compliance responsibilities around the use of proxy advisory services have grown in recent years, a point made during an SEC roundtable last week (IA ...

Members of the SEC's Investor Advisory Committee Nov. 22 voted unanimously to support a recommendation to the full Commission that it adopt a rule creating ...