SEC Operations

Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...

"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...

The numbers of private fund advisers grew 39% between 2012 and 2023, spurred by the tremendous increase (103%) in private equity funds

"This disproportionately large penalty for failure to report in a timely manner ... suggests to us that the Commission is more concerned with generating large ...

"The crypto industry’s record of failures, frauds, and bankruptcies is not because we don't have rules or because the rules are unclear. It’s because many ...

"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"

"The first trend I’d note is the sheer growth over many years of the private funds field. In aggregate, they grew more than 10 percent ...

"My reservations stem from the breadth of the rule and the likelihood that it will spawn more consumer notices than are helpful"

"Rapid technological change is now the norm and more frequent cybersecurity incidents and data breaches add additional risks that warrant Commission action to ensure that ...

"The final amendments do not require a financial institution to enter into a contract with its service providers to deliver data breach notices .... This ...