SEC Operations

"The SEC needs a clearer approach to considering applications for crypto ETPs that is more consistent with precedent. On these and other issues, SEC Chairman ...

"The anti-Wall Street sentiments coursing through the market events of recent weeks and the growing realization of the power that private and public centralized entities ...

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

The Director of the Division of Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, ...

"Insisting that an entity that is willing to settle be left in the dark about whether its waiver application will be granted significantly alters the ...

The Division of Enforcement will no longer recommend to the Commission a settlement offer that is conditioned on granting a waiver

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

It’s unclear how many firms in the EU would wish to register as SEC RIAs. Some have gotten around the problem by buying existing SEC ...

This will empower senior officers to exercise the delegated authority of the Commission to authorize staff to subpoena documents and take sworn testimony

"The Commission will closely review actions taken by regulated entities that may disadvantage investors or otherwise unduly inhibit their ability to trade certain securities"