Home SEC Operations

SEC Operations

Jay Clayton
"The totality was a package of rules and interpretations that will enhance the quality and transparency of retail investors’ relationships with broker-dealers and investment advisers.  ...
Future requests for SEC no-action and interpretive letters must be filed using a new web-based form
“There’s a bright side to it and a dark side,” contends Alex Platt. The former helps the SEC bring additional cases; the latter may see ...
When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...
“OCIE adapted to conducting examinations on a correspondence basis while remaining prepared to go on-site when necessary,” wrote SEC Chair Jay Clayton. “OCIE has worked ...
The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests
SEC report shows the Enforcement Division's costs jumped nearly 60% in one year, while OCIE's increased a mere 5%
OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE ...
Jay Clayton
"The staff bulletin reflects a continued commitment to identifying and eradicating fraud targeting our Main Street investors, including fraud in the 'penny stock' market"
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.

Copyright PEI Media

Not for publication, email or dissemination