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SEC: Regulators

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The SEC adjusts penalties due to inflation
Fork in the road signs
Chastened by his own party, chairman focuses on ESG, market structure reforms
Firm hoped to win approval to sell crypto to retail investors
Pick up some tips for complying with the SEC's books and records rules from RCW's experts.
Regulators don’t need to prove scienter to bring a books-and-records case. Your firm can still limit the damage from a violation. RCW talked to a ...
Private funds backed Dems ahead of mid-terms
Swing pricing and 'hard close' would be imposed on most funds
More than one in five cases involved fees, expenses or valuations
'Everyone’s guessing at this point'
Acting IG finds 'a persistent challenge' in agency coordination
SEC Commissioner Lizarraga
'We must do more,' Dem Commissioner says in maiden speech.
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