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Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"
The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...
Strings attached if you wish to delay filing Forms ADV and PF
It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.
Justices wondered if disgorgement goes to harmed investors or lands in the Treasury
“Congress has never given the SEC authority to seek and obtain an order of disgorgement from a district court”
The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers
OCIE seeks to add four positions to examine for compliance with new fiduciary duty rules and cybersecurity
Elad Roisman
Institutional investors and asset managers are not the only investors that the SEC is charged to protect
It's critical that the asset management industry include women and men with diverse backgrounds and perspectives
The asset management industry is a key player in helping investors to meet their retirement and other financial goals
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"
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