SEC Operations

"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...

"As AI technologies evolve and mature, we will need to stay abreast of any potential risks that they may give rise to"

"Another characteristic of the Treasury markets is the use of leverage often facilitated by prime brokerage relationships between hedge funds and nonbank intermediaries on the ...

"Allowing firms to access markets without having to comply immediately with the full panoply of regulations provides a manageable entry point into highly regulated markets"

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"