SEC: Regulators

"The SEC’s approach to regulating crypto looks somewhat like a decidedly unromantic version of CompuDate from the old TV show: we tell people to come ...

The SEC adjusts penalties due to inflation

Chastened by his own party, chairman focuses on ESG, market structure reforms

Firm hoped to win approval to sell crypto to retail investors

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