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SEC: Regulators (71)
Your search for SEC: Regulators returned 71 results.
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3/27/2019 | Content area: Investment Adviser
The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors misleading e-mails ...
2/21/2019 | Content area: Investment Adviser
The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the...
12/20/2018 | Content area: Investment Adviser
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company to d...
12/13/2018 | Content area: Investment Adviser
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the C...
10/25/2018 | Content area: CPO/CTA
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ruling but ...
7/05/2018 | Content area: Broker-Dealer
Even as one firm challenges the SEC’s right to enforce Bank Safety Act violations (see related story), the Commission has filed a federal lawsuit in S...
6/21/2018 | Content area: Investment Adviser
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means the...
6/14/2018 | Content area: Investment Adviser
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advi...
6/11/2018 | Content area: Investment Adviser
The Division of Investment Management staff has updated the “Staff Responses to Questions About the Custody Rule” to provide additional guidance regar...
4/19/2018 | Content area: Investment Adviser
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
3/15/2018 | Content area: Broker-Dealer
That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study t...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sough...
1/11/2018 | Content area: Investment Adviser
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...
1/11/2018 | Content area: Investment Adviser
With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released...
9/07/2017 | Content area: Investment Adviser
The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming fr...
8/24/2017 | Content area: Investment Adviser
It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until...
7/25/2017 | Content area: Investment Adviser
The DAO is one example of a Decentralized Autonomous Organization, which is a term used to describe a “virtual” organization embodied in computer code...
6/22/2017 | Content area: Investment Adviser | CPO/CTA
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple r...
3/23/2017 | Content area: Broker-Dealer
Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approv...
3/16/2017 | Content area: Investment Adviser
Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall und...


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