SEC: Regulators

I am concerned that the proposal may go too far in changing the distinctly local nature of these offerings that led to the original congressional ...

The pricing of Exchange Traded Funds (ETFs), this is a complex matter that is ripe for discussion. As you know, on August 24, 2015, shortly ...

SEC Commissioner Daniel Gallagher has gone out swinging.  The commissioner, no stranger to voicing strong stances on various issues, joined his fellow colleague Michael Piwowar ...

we would not recommend enforcement action to the Commission under Section 7 of the 1940 Act against certain BCTs or any Separate Account in which ...

SEC Chair Mary Jo White highlighted the Commission’s enforcement record and complex and far-reaching regulatory efforts during her tenure in defending against claims leveled by ...

The June 12th Federal Register contained those two new SEC proposals affecting Form ADV and mutual fund reporting changes. The publication starts the clock for ...

Today I want to touch upon some initiatives we are very excited about, and which the Division will be devoting a lot of attention to ...

Last week, the SEC’s Advisory Committee on Small and Emerging Companies presented Commissioners with a suggestion to define “accredited investors” as those “who meet a ...

Speaking last month at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...

A peek at the regulatory year ahead can be seen in a new speech by SEC Chair Mary Jo White. In speaking Dec. 11th, White ...