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SEC Operations (673)
Your search for SEC Operations returned 673 results.
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8/22/2019 | Content area: Investment Adviser
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21.   The 26-pa...
8/22/2019 | Content area: Investment Adviser
Form ADV, Part 2a – the brochure – includes a section on fees but the structure fails to allow easy comparisons among what advisers charge, according ...
8/22/2019 | Content area: Investment Adviser
It’s been nearly a year since SEC Chairman Jay Clayton reminded everyone that staff guidance – such as FAQs, exemptive orders and “no-action” letters ...
8/15/2019 | Content area: Investment Adviser
Redwood Trust, Inc. Aug. 15, 2019   Investment Company Act of 1940 - Section 3(c)(5)(C)   August 15, 2019   RESPONSE OF THE CHIEF COUNSEL'S O...
8/08/2019 | Content area: Investment Adviser
Hundreds of industry professionals signed on to a petition started by two NFA board members – one an Illinois CPO and the other a Colorado CTA – implo...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/07/2019 | Content area: Investment Adviser
Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is a...
7/30/2019 | Content area: Investment Adviser
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the i...
7/25/2019 | Content area: Investment Adviser
The SEC just can’t escape legal challenges to its system of administrative law judges (IA Watch, July 18, 2019). While Ray Lucia’s case progresses, an...
7/25/2019 | Content area: Investment Adviser
Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the va...
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 Peirce San Diego, California June 2...
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...


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