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Private equity funds have outpaced public investments in both the long- and short-runs, while venture capital funds have lapped public investments in the long-term but ...
Jay Clayton
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
Hester Peirce
Identifying asset managers who proclaim ESG, but don’t live it, is not so easy. Investors are pouring assets into ESG-labelled investment products, and asset managers ...
Some cases needed to be re-tried by entirely new trial teams who were pulled from active investigations and litigations. As you might imagine, this required ...
Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...
Rule 15c3-l, promulgated thereunder (the “net capital rule”), requires that a broker-dealer “at all times have and maintain net capital” no less than the greatest ...
Respondent has submitted a sworn Statement of Financial Condition, dated February 29, 2020, supplemented as of June 30, 2020, and other evidence and has asserted ...
Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls
A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...
SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...
The SEC has filed a cherry-picking suit against a New Jersey investment adviser and its president—less than a decade after the firm’s parent company was ...
A checklist to use when opening a new account
The form of cyber-attack employs compromised client login credentials
A 10-point questionnaire for advisers to ask clients as a means of planning for their elder years. This comes courtesy of Sandy Adams, CFP and ...
A look at OCIE's latest risk alert, a resolution to an issue that has frustrated some advisers and vexed the SEC, a development in a ...
“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said
The published rule begins June 14, 2021. It promises “an expedited review procedure for applications” that are “substantially identical to two other applications"
This is the third municipal bond offerings case in four months
Sideletter
"we should examine whether appropriately-structured funds can facilitate greater Main Street investor access to private investments, particularly as a component of an investment portfolio that ...
Elad Roisman
"I am happy to see the Committee now turning back to focus more on some of these same topics: retail access to private market investments, ...
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