"A duck gliding gently across a still pond exudes calmness. But what you don’t see, just under the water’s surface, are two webbed feet paddling ...
If you’re keeping score at home, it’s one win each for the adviser versus the ex-reps in a breach of contract lawsuit. But the game’s ...
The proposed amendments would eliminate certain filing and reporting obligations, streamline certain requirements, and make corrections and other revisions. The proposed amendments are designed to ...
Another SEC case goes before the SCOTUS, a look at a new Form PF proposal, the role of private equity in an adviser lawsuit and ...
"Data analytics, surveillance tools, and emerging technologies require information-sharing between regulators so that we can anticipate regulatory frictions before they metastasize into market-level disruptions"
"Over the years, the SEC’s rules have multiplied faster than the problems that they were intended—or purported—to solve .... it is time for the SEC ...
"I have been hearing calls to fix Form PF since I started as a commissioner"
"Over the past several years, the Commission has sought to impose regulatory obligations on private funds that exceed the obligations imposed on mutual funds through ...
"Commission staff continue to assess issues related to the treatment of failed trades and clearing agency outages as well as customer protection considerations—issues that market ...
The case 'has the potential for far-reaching monetary impacts for defendants in SEC enforcement actions' with billions of dollars at stake