SEC

Dem Commissioner endorses redefinition of "shareholder of record"

From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.   

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...

State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...

Advisers see disturbing signs of regulatory innovation

Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...

SEC Chairman Gary Gensler has turned to a University of Colorado law professor to help run the Division of Corporation Finance—and he may have dropped ...

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Remarks Before The Future of Asset Management North America Conference Washington D.C. Sept. 29, 2021 I’d like to thank the Financial Times for putting on ...