SEC Operations

The SEC’s pace of rulemaking in the last two years will challenge firms and CCOs, even as the Commission should lay out a “framework” to ...

"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...

"There are really three situations where the Commission typically brings enforcement actions against compliance personnel"

"It is unsurprising that many compliance professionals feel a sense of trepidation as to how the Commission will exercise its enforcement authority. Left with only ...

"Shadow banks function by intermediating between borrowers and investors in capital markets, but they had structured themselves in ways that allowed them to evade many ...

"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...

"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...

The SEC has finally admitted that it won’t restart a 7-year-long enforcement action that went all the way to the U.S. Supreme Court

Gensler tells Congress the final private funds rule "was adjusted in multiple ways based on public feedback on the proposal"

"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...