SEC Operations

"It may sound like I am exaggerating the scope required to make these disclosure standards work, but let us be clear about this: This effort ...

"Other potential options include allowing anyone to invest some percentage of her investment portfolio in private companies—a technique already used in the crowdfunding rules—and allowing ...

"I believe each of our agencies have important roles within our respective authorities to enhance the resiliency of the financial system. At the SEC, we’re ...

There "is room for improvement in the transparency of private markets. The SEC is undertaking reforms through updates to Form PF and private fund adviser ...

"Private fund investors often are retirement funds and endowments .... That’s why we proposed a rule to require private fund advisers to provide detailed reporting ...

The decision leaves unresolved the constitutionality of the SEC ALJ setting, setting the stage for the issue to percolate once again up to the High ...

"The recent frustration and confusion surrounding the exercise of put options on Silicon Valley Bank and Signature Bank stocks when trading was halted demonstrated that ...

Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”

The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as ...

IA "numbers have grown significantly in the last five years. Registered investment advisers grew by 22 percent—to about 15,000, up from approximately 12,500 in 2017. ...