SEC Actions

A New York hedge fund adviser has suspended its founder and will liquidate its biggest fund after the SEC accused the man of “adjusting” swaps ...

IM won't recommend enforcement if the advisers "treats a Reserved Powers Trust as a Non-U.S. Person (each as described and defined in your letter) in ...

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...

This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...

"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...

When "a market quotation for a portfolio security is not readily available or if the investment is not a security, the Act requires the fund to use ...

The "degenerates" of wallstreetbets wanted attention. Now they're getting it.

In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...

Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...