SEC: Regulators

'With better information, we can make better-informed regulatory decisions,' Dem Commissioner says.

The CCO is responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository ...

Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...

The Division of Examinations’ new ESG risk alert “needs some context,” Commissioner Hester Peirce says in a new statement of her own. Peirce says she ...

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

The SEC has turned aside a request from the nation’s largest stock exchanges to hold the Commission’s new market data infrastructure rules but it’s only ...

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

This agenda, published in the March 31 Federal Register, may well become outdated once Gary Gensler formally assumes the chairmanship of the SEC

SEC regulators have issued a new statement underlining requirements and restrictions on the booming special purpose acquisition company industry. In a March 31 statement from ...