SEC

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

Blank check companies should do an inventory of potential conflicts and make sure they’re disclosing them “clearly” when either launching an IPO or considering a ...

Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...

The Trump Administration has made it official and named Republican SEC Commissioner Elad Roisman to serve as acting Chairman. The designation, made late Dec. 28, ...

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

Securities Information Processors now must gather and share data on stock exchanges’ depth-of-book, odd-lot and auctions under new rules adopted Dec. 9 by the SEC. ...

State regulators and Democrats at the SEC have been increasingly vocal that Reg. D offerings have to be brought to heel. Their words are likely ...

SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...