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"We’ve also seen brokerages and investment advisers use sophisticated analytic tools to interact with investors .... Broker-dealers and investment advisers, regardless of whether they are ...
"One approach is using a sliding scale that would allow any individual to invest at least a modest amount in private investments over the course ...
"Private credit’s rapid growth is partly due to the imposition of stricter capital and lending standards on traditional banks in the wake of the financial ...
Grewal oversaw more than 2,400 enforcement actions resulting in orders for more than $20 billion in disgorgement and penalties
"In FY 2023, Division staff conducted more than 3,100 examinations across our tens of thousands of registrants"
"The use of off-channel communications—text messages, smartphone chat applications like WhatsApp, and personal email outside firm-approved systems—is prevalent across the securities industry. We have an ...
"Unnecessary redaction of final award determinations in the name of whistleblower confidentiality limits public information about the awards, and that, in turn, insulates the awards ...
A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...
The SEC will welcome your comments on its latest regulatory agenda until Sept. 14
"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...