SEC

According to the FBI, every major corporation in the United States has been hacked. And the federal government has proven to be an equally alluring ...

We begin with derivatives. A critically important part of the Commission’s agenda is identifying and addressing, as appropriate, the risks in today’s asset management industry, ...

This proposal answers a pressing question that the Commission has been grappling with for many years – how should our rules be modernized to address ...

The release also notes that funds’ use of complex over-the-counter derivatives in particular entail risks. However, other regulatory action is already seeking to address some ...

The increased use of derivatives by registered funds is a particular risk for retail investors. As a former Director of the Division of Investment Management ...

The repeal of the indemnification requirement is one of many much-needed Dodd-Frank Act fixes identified by SEC staff as they have worked diligently to implement ...

My advice to new Commissioners not familiar with the inner workings of the SEC is to make sure your counsels have that familiarity. Each Commissioner ...

While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory ...

First, ATSs transacting in NMS stocks would be required to publicly disclose information relating to the activities of its broker-dealer operator and the operator’s affiliates. ...

A common thread running through the enforcement actions against dark pools is that market participants lack crucial information about how these ATSs function—and about the ...