SEC: Regulators

"Today, the Commission proposes to carve out this conduct, a mere three months after the compliance date for Reg BI"

"The proposed exemption would, if adopted, provide clear rules of the road to issuers, investors, and finders"

The SEC has handed over its private fund adviser compliance “playbook” but now it’s up to the industry to execute the plays, a pair of ...

The SEC’s still open derivatives rulemaking notice may well be a glimpse into how the Commission will regulate money market and exchange-traded funds, Division of ...

A divided SEC has approved new rules giving Commissioners discretion to raise or lower awards to whistleblowers, ending one of the most contentious rulemaking efforts ...

Private equity funds have outpaced public investments in both the long- and short-runs, while venture capital funds have lapped public investments in the long-term but ...

SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...

The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...

A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...

A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...