SEC: Regulators

'This case is a petri dish about the economic system of the world'

'It offers prosecutors easy opportunities to show that they are doing something to hold Wall Street accountable'

"We're going to have a cleanup in aisle three, and the public is going to ask, 'Where was the oversight?'"

Outsourcing rare but multiple roles, funds abound

Regulatory 'firsts' land uncomfortably close to private funds

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses'

Gurbir Grewal, the SEC’s top enforcer, is bristling at suggestions that he and his colleagues are “regulating by enforcement” in either cryptocurrency or ESG disclosures. ...

The ancient Chinese supposedly had a curse: May you live in interesting times. If they ever get a chance to reflect on the past two ...

P&Ps untried, untested, Commission warns in new risk alert