SEC: Regulators

The RIAs are 'essentially caught between two regulators'

"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...

Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...

Regulators may not be able to keep up with the speed of artificial intelligence’s development

"One classic government failure is to seek to influence capital flows in the 'right' direction"

"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...

The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...

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 ...

You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...

"Investments in alternative asset classes are growing .... This growth means that investors are increasingly allocating assets to unregistered funds by investing directly through products ...