SEC: Regulators

Case another example in importance of delegating compliance authority

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

Unproven theory may make firms hostage to P&Ps, side deals

Knowledge dissolves in information

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Scam began as side-hustle, SEC claims

It’s clear the mess Madoff left will long outlive the criminal who created it

This is the new national market system plan governing the public dissemination of real-time consolidated equity market data for national market system stocks

ILPA's asks graph neatly onto Gensler's wants

While the staff is preparing and the Commission is considering potential additional rulemaking, the procedures discussed below are available to whistleblowers with claims pending during ...