SEC: Regulators

"The SEC is seeking comment on crypto custody arrangements by broker-dealers and relating to investment advisers. Custody protections are key to preventing theft of investor assets, ...

Agency official sees Oct. 21 for NPRM, full vote by April.

The substituted compliance framework reflects the cross-border nature of the security-based swap market, and is intended to promote efficiency and competition by helping to address ...

Commissioner warns colleagues they're reaching for something that isn't there

Chairman cites "limited transparency" in wake of Archegos scandal

"If, as has sometimes happened in the SEC’s, FINRA’s, and other regulators’ enforcement actions, when a firm violates the law, the regulatory consequences fall in ...

Firms, execs misled on tech, hid founder's national security "threat," Commission claims

B-D kept it clean for 20-plus years, Commission says

Former white collar prosecutor returns to Washington

“SEC is notorious for issuing press releases that instantly destroy careers, reputations, businesses, and lives. It is hard to imagine a policy better designed to ...