SEC: Regulators

The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...

The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the CFTC did ...

We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company ...

Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the Commission’s ...

Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ...

Even as one firm challenges the SEC’s right to enforce Bank Safety Act violations (see related story), the Commission has filed a federal lawsuit in ...

Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means they can’t hold themselves ...

Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advisers ...

The Division of Investment Management staff has updated the “Staff Responses to Questions About the Custody Rule” to provide additional guidance regarding specific questions relating ...

IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. ...