SEC Operations

A U.S. investment adviser that serves only its insurance company owner and subsidiaries may escape SEC registration and an investment company may exclude shares sold ...

The SECannounced just prior to the Memorial Day holiday weekend that its former associate enforcement director in its Fort Worth office will be barred from ...

Improvements within the SEC's Enforcement Division, such as creating specialty groups and eliminating redundant managers, deserve praise but the division could be even more efficient ...

The numbers may not be final, but they're close. Some 1,400 private fund advisers registered with the SEC by the first week of April, sources ...

Last week the SEC announced its new Investor Advisory Committee. Of the 21 members on the body, six hail from registered investment advisers, marking a ...

The financial crisis that dominated 2008-2009 had roots much earlier than that and the system that nourished the abuses remains in place today. That was ...

It may have taken longer than expected and result in fewer examiners, but the SEC's Division of Investment Management expects to bring on board 5-6 ...

It was the very first Dodd-Frank change affecting advisers that was enacted with the law in July 2010: removing from the net worth calculation of ...

A post-script to David Kotz's tenure as SEC inspector general questions the agency's handling of legally required cost-benefit analyses in recent rulemaking. His final report ...

Last year the SEC visited 8% of RIAs. If Congress were to grant the President's FY 2013 budget - which would kick in in October ...