SEC Operations

"Unfortunately, it appears the Commission is poised to repeat the errors of the past.  This time it may even be worse, as the final rule ...

"Recent failures in the banking sector brought into sharper focus the need to review vulnerabilities in the existing customer asset protection framework for broker-dealers"

"Increases in a fund’s liquidity requirements may reduce the transaction costs of redemptions. Eliminating the ability of a fund to suspend investor redemptions may reduce ...

"Unfortunately, the simultaneous consideration of numerous complex items – many of them rulemaking initiatives – has become commonplace within the Commission .... The Commission can ...

The SEC's Investor Advocate believes 'strong oversight of advisers’ third-party service providers is necessary' but is 'sensitive' to its compliance costs

Six years of 'no-action' relief around soft dollars research quietly end

"I am disappointed that the SEC staff has decided not to extend the MiFID II Relief for a modest additional period to accommodate these potential ...

The committee took a similar step 10 years ago but the Commission failed to take it up

"Cybersecurity is therefore foundational to maintaining the integrity of not just our securities markets, but our economy as a whole"

"The use of predictive data analytics, however, also can lead to potential conflicts. Conflicts may arise to the extent that advisers or brokers are optimizing ...