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SEC Operations (654)
Your search for SEC Operations returned 654 results.
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7/11/2019 | Content area: Investment Adviser
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be rev...
7/11/2019 | Content area: Investment Adviser
You’ve seen it many times. Not long after the SEC releases an enforcement settlement against an adviser or another firm, the Commission than grants th...
7/11/2019 | Content area: Investment Adviser
The SEC commission is back to full strength with the July 8 swearing in of Democrat Allison Lee.   Lee has worked at the SEC before. She served as cou...
7/09/2019 | Content area: Investment Adviser
Speaking before a group in Boston that included retail investors, SEC Chairman Jay Clayton July 8 vigorously defended the Commission’s actions in pass...
7/08/2019 | Content area: Investment Adviser
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A num...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
6/28/2019 | Content area: Investment Adviser
Baby on Board: Remarks before the Society for Corporate Governance National Conference Commissioner Hester M. Peirce   San Diego, California ...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
6/18/2019 | Content area: Investment Adviser
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For e...
6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
6/04/2019 | Content area: Investment Adviser
But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of Ponzi schemes and similar...
5/21/2019 | Content area: Investment Adviser
One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to bitcoi...
5/17/2019 | Content area: Investment Adviser
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is on...
5/16/2019 | Content area: Investment Adviser
his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces ...
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
5/09/2019 | Content area: Investment Adviser
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my arrival at t...
5/08/2019 | Content area: Investment Adviser
Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged to tell companie...
5/08/2019 | Content area: Investment Adviser
The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exc...
5/08/2019 | Content area: Broker-Dealer
Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted w...


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