SEC: Regulators

A former SEC examiner will spend the next nine months under house arrest for sneaking into the Commission’s secret databases to sweeten his job prospects ...

Agenda has been dominated by ESG, diversity, and private investments of late

A New York hedge fund adviser has suspended its founder and will liquidate its biggest fund after the SEC accused the man of “adjusting” swaps ...

“The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies”

The "degenerates" of wallstreetbets wanted attention. Now they're getting it.

Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

Blank check companies should do an inventory of potential conflicts and make sure they’re disclosing them “clearly” when either launching an IPO or considering a ...