SEC Operations

In my experience, the companies that delivered long-term superior returns to their shareholders had a common trait — the ability to adapt. The Commission has ...

What troubles me, is that often-times complex products fall into the hands of people who don’t fully understand them. For certain of these products, the ...

This month, we have had the opportunity to celebrate and pay tribute to the significant contributions of African Americans to our Nation. This year’s ...

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...

Mark your calendar for Thursday, April 12th. That’s the day that OCIE and the Division of Investment Management set for their first compliance outreach program ...

We face a growing gap in this country between our markets and Main Street investors. The middle class watches our markets rise and increasingly—and correctly—senses ...

Companies, their managers, their boards, as well as their regulators, all need to do a better job in recognizing and addressing the significant risks that ...

While a settlement arising from this self-reporting initiative may allow an adviser to skirt paying penalties, the firm could expect to disgorge what it shouldn’t ...

This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...

Depending upon what side of the case you sit on, Ken Sandhu is either obsessed with what he sees as an injustice or is a ...