SEC: Regulators

"I have concerns that as LIBOR is replaced, a number of commercial banks are advocating for replacement indices that are still reliant on short-term, unsecured, ...

"[W]e have to be mindful that asset managers’ interests are not necessarily the same as those of true investors .... the SEC’s regulatory role should be limited ...

Experts see 'a move away from more access,' and toward more openness

Fund advisers need 'some honest self-reflection' as SEC ramps up reform efforts

The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...

The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new

Seven arrests in five separate cases have put plenty of arrows into reformers' quivers.

In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...

The Commission is announcing that it intends to hike the two tests that make one a qualified client. The AUM test will be raised from ...

We intend to issue an order that would increase the dollar amount of the assets-under-management test from $1,000,000 to $1,100,000, and would increase the dollar ...