SEC: Regulators

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 ...

The Trump Administration has made it official and named Republican SEC Commissioner Elad Roisman to serve as acting Chairman. The designation, made late Dec. 28, ...

Securities Information Processors now must gather and share data on stock exchanges’ depth-of-book, odd-lot and auctions under new rules adopted Dec. 9 by the SEC. ...

SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...

President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...

Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.

The Department of Labor has quietly updated ERISA rules to require private pension plan fiduciaries to put financial returns ahead of sustainable goals in investing, ...

Due to Commission rulemaking, the Division of Investment Management withdraws no-action letters issued between 2008 and 2015

The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...