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SEC Operations (606)
Your search for SEC Operations returned 606 results.
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1/17/2019 | Content area: Investment Adviser
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...
1/17/2019 | Content area: Investment Adviser
The author of a book that claims SEC charges against him were “unfounded and unfair” remains a mystery and it’s uncertain whether you’ll ever get to r...
1/17/2019 | Content area: Investment Adviser
The SEC's complaint alleges that Ieremenko circumvented EDGAR controls that require user authentication and then navigated within the EDGAR system. Ie...
1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...
1/02/2019 | Content area: Investment Adviser
If your firm is in the middle of – or scheduled to begin – an OCIE exam, the partial federal government shutdown that began Dec. 22 provides you with ...
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...
12/13/2018 | Content area: Investment Adviser
Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, fa...
12/06/2018 | Content area: Investment Adviser
The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of m...
12/03/2018 | Content area: Investment Adviser
Barriers to information may come in various forms, including data protection, privacy, confidentiality, bank secrecy, state secrecy, or national secur...
11/29/2018 | Content area: Investment Adviser
It’s not often that a regulator gives you an opportunity to amend a long-passed rule but that’s what the SEC is doing. In a new release, the agency li...
11/29/2018 | Content area: Investment Adviser
Executives at the Atlanta advisory firm Timbervest vowed to fight on after a 2015 unanimous decision by SEC commissioners found they had cheated a cli...
11/29/2018 | Content area: Investment Adviser
A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ s...
11/28/2018 | Content area: Investment Adviser
Outdated rules can impose significant costs on market participants. These costs are why I oppose the mandating of specific technologies in our rules....
11/21/2018 | Content area: Investment Adviser
The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal fiscal year that ...
11/15/2018 | Content area: Investment Adviser
A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ulti...
11/08/2018 | Content area: Investment Adviser
Broker-dealers and investment advisers are different, and their compensation models are different. One investor may find the services and fees of a b...
11/07/2018 | Content area: Investment Adviser
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it diffi...
11/06/2018 | Content area: Investment Adviser
The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC Di...
11/02/2018 | Content area: Investment Adviser
The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disg...
11/02/2018 | Content area: Investment Adviser
Our financial reporting and corporate disclosure system is essential to well-functioning markets, which are, in turn, essential to the ongoing provisi...


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