SEC

SEC

Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...

Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...

The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...

SEC Chairman Jay Clayton told top officials in the Trump Administration he was interested in the Manhattan federal prosecutor’s office less than a week before ...

Currently serves as SEC senior counsel

In an 8-1 decision, the Supreme Court on June 22 held that, in an SEC enforcement action, a disgorgement that does not exceed a wrongdoer’s ...

SEC Chairman Jay Clayton has found himself engulfed in the ongoing controversy over the top prosecutor’s job in the critical Southern District of New York. The saga began ...

The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...

Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...