Given President Trump's directive, the SEC is extending the compliance dates of Form N-PORT changes to provide time for the Commission to complete its review
Political leaders in Washington, D.C. are looking to persuade the SEC to reverse direction on many of the new rules created during the chairmanship of ...
The firm elected to buy business phones for all staff, which has been shown to be a smart move
The lesson arising from a new SEC enforcement settlement against an investment adviser teaches that if money later comes to the firm via a lawsuit ...
More ideas to avoid off-channel communications' troubles, pressure mounts on the Commission to squash some Gensler-era rules, don't forget investors after coming into some money, ...
Chair has asked Commission staff to evaluate whether the current AUM split between the SEC and the states reamains optimal
"I can’t help but consider them from the perspective of a retail investor .... What protections do they naturally assume they have based on crypto ...
"State regulation of crypto asset trading raises the potential for there to be a patchwork of state licensing regimes. We should consider whether there may ...
"What can and should we do in the short-term and what should Congress consider in the longer-term to ensure there are no regulatory gaps, as ...
"The Division’s statement is not a definitive how-to guide for the come-in-and-register invitation that befuddled so many in recent years.[2] Rather, it is a small step ...