SEC: Regulators

Substantiation requirements give regulators entre into private funds' vaults

'This is really going to help the retirees in most of your states,' Chairman says in marathon testimony.

Last time regulators pushed market this hard, veteran lawyer warns, they lost all sorts of rights

New front opens in already besieged industry

'It's been a busy few weeks'

'Compliance and marketing teams are in a challenging spot...'

Proponents see existential threats grow exponentially

SEC Chairman Gary Gensler has returned to a favorite theme, warning investment advisers and broker-dealers that they must get a handle on predictive data analytics ...

"The SEC’s current regulatory agenda is ambitious, with such an extensive list of proposals not seen since the 2008 financial crisis and the enactment of ...

Giants say they're cooperating