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SEC Operations (566)
Your search for SEC Operations returned 566 results.
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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...
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
4/30/2019 | Content area: Investment Adviser
To create an interdivisional taskforce at the Securities and Exchange Commission for senior investors.
4/22/2019 | Content area: Investment Adviser
This is an SEC document released in April 2019.
4/11/2019 | Content area: Investment Adviser
It’s a list you don’t want to be on.   “We have a database of thousands of deficiency letters in the IA space,” said Dan Kahl, co-deputy director/chie...
4/04/2019 | Content area: Investment Adviser
The SEC finds itself in a squeeze given its must abide by a 1946 Supreme Court decision defining a security when justices then couldn’t have even imag...
4/03/2019 | Content area: Investment Adviser
Should the Senate approve President’s Trump’s nominee to the SEC, the Commission would return to full strength with five members. The President April ...
3/21/2019 | Content area: Investment Adviser
Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a 2.7% increase o...
3/18/2019 | Content area: Investment Adviser
Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achi...
3/18/2019 | Content area: Investment Adviser
modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of funds...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/13/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Wat...
3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
3/08/2019 | Content area: Investment Adviser | Broker-Dealer
A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluat...
3/05/2019 | Content area: Investment Adviser
Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest a...


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