SEC: Regulators

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. ...

That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study that ...

Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sought ...

With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released ...

SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016 ...

The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming from ...

It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until FINRA ...

The DAO is one example of a Decentralized Autonomous Organization, which is a term used to describe a “virtual” organization embodied in computer code and ...

Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...

Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...