SEC Operations

Marshall Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, will be leaving the Commission later this month. He has served as co-head ...

You may have doubts that your clients read your Form ADV brochure word-for-word but know that OCIE has technology that scans it, using the findings ...

OCIE staff is working hard to do more with less by improving our efficiency and maximizing our coverage, influence, and impact on our registrants. It ...

Today’s rules are designed to address issues that arise as a result of the complex products and relationships that characterize the security-based swap market and ...

Today’s rule spells out some important protections and business conduct standards mandated by Congress in the Dodd-Frank Act. These include anti-fraud rules, a chief ...

The Division of Enforcement is also making great use of new tools. In insider trading investigations, for example, the Division uses sophisticated software to ...

If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...

Dodd-Frank gave the SEC the power to take more of its enforcement cases to its administrative proceedings setting rather than the courts. A new study ...

As an integral part of the implementation of each one of these new tools, I have drawn on the expertise of the staff across the ...

Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in ...