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Headshot of Rick Fleming
Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS
Hester Peirce
How can we enlist the help of people outside of government in regulating the activities we are responsible for overseeing?
OCIE "searches for signs of fraudulent schemes perpetrated through brokerage and advisory accounts"
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
“Romeril faces the threat of reopened and renewed prosecution if he speaks up”
Hester Peirce
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
"You should take it upon yourselves to improve communications with your investors"
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
Headshot of Rick Fleming
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
The committee also will advise the Commission on technology, use of service providers and provide other “advice and recommendations”
Elad Roisman
SEC Commissioner Roisman discusses oversight of the U.S. Treasury market
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21.   The ...
Form ADV, Part 2a – the brochure – includes a section on fees but the structure fails to allow easy comparisons among what advisers charge, ...
It’s been nearly a year since SEC Chairman Jay Clayton reminded everyone that staff guidance – such as FAQs, exemptive orders and “no-action” letters – ...
Redwood Trust, Inc. Aug. 15, 2019   Investment Company Act of 1940 – Section 3(c)(5)(C)   August 15, 2019   RESPONSE OF THE CHIEF COUNSEL'S ...
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds gained permission ...
Hundreds of industry professionals signed on to a petition started by two NFA board members – one an Illinois CPO and the other a Colorado ...

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