SEC Operations

Grewal oversaw more than 2,400 enforcement actions resulting in orders for more than $20 billion in disgorgement and penalties

"In FY 2023, Division staff conducted more than 3,100 examinations across our tens of thousands of registrants"

"The use of off-channel communications—text messages, smartphone chat applications like WhatsApp, and personal email outside firm-approved systems—is prevalent across the securities industry. We have an ...

"Unnecessary redaction of final award determinations in the name of whistleblower confidentiality limits public information about the awards, and that, in turn, insulates the awards ...

A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...

The SEC will welcome your comments on its latest regulatory agenda until Sept. 14

"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...

Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors

Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...

The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right