SEC Operations

Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achieve a ...

modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of ...

A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment custody ...

SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Watch, June 16, ...

In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief requested by the Independent ...

A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluate securities that ...

Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest and best ...

Indexes have influence over stock prices that even the largest investors can only envy. Given the conflicts of interest the index providers face and the ...

There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned that ...

Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links ...