The 16 firms pointed to an SEC enforcement settlement in January over off-channel communications that they contended ended with better terms than theirs
'Each investigation is unique. No one size fits all.' However, said here are some common tips
Atkins swearing in leaves one more Commission slot to be filled
Letter details five rulemaking priorities that would benefit "the 120 million Americans who use investment funds"
It has been more than 30 years since the SEC last reviewed the Investment Company Act regulatory framework
Time is needed to complete a Commission review of the amendments in accordance with a Presidential Memorandum
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 ...
Chair has asked Commission staff to evaluate whether the current AUM split between the SEC and the states reamains optimal