SEC: Regulators

Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

“I think it’s going to be a big year for adviser regulations”

These items become effective this year

The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...

Nearly 50 regulatory rules are being considered by the SEC

The relief was due to expire July 3, 2020. It has now been extended to July 3, 2023

“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...

Investment advisers are fiduciaries that owe each of their clients duties of care and loyalty with respect to services undertaken on the client’s behalf, including ...

The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability of certain rules, which the ...