SEC: Regulators

"Given the Securities and Exchange Commission’s mandate, I’ve asked staff to work on two important projects related to climate risk disclosures. One relates to public ...

Nearly half of private fund advisers are trying to sub-contract their way out of their fiduciary duties, a trade association for pension and foundation managers ...

SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...

Dem Commissioner endorses redefinition of "shareholder of record"

From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.   

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...

State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...

Cases reveal a brokerage system all but begging to be exploited.

SEC Chairman Gary Gensler has turned to a University of Colorado law professor to help run the Division of Corporation Finance—and he may have dropped ...