SEC Actions

The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...

Under the proposed amendment, a shareholder could satisfy any one of these thresholds to be eligible to submit a proposal

This rule simplifies the framework for registered and exempt offerings; sets clear and consistent rules governing offering communications between issuers and investors; and harmonizes certain ...

A private equity adviser in suburban Washington, D.C. will pay more than $1 million to settle SEC claims that it inadvertently overcharged its investors managements ...

Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds

The SEC is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading as DCOs ...

Twelve past staff letters because of Commission action