SEC Operations

Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue. Rather, the key is ...

Today, I am very pleased to say that I am not the first at something. I am, in fact, the third woman to serve ...

A new report from the SEC’s Inspector General reveals that OCIE expects to receive a consultant’s report by September on ideas for bulking up its ...

The SEC certainly hasn’t been shy about emphasizing its focus on the cybersecurity protections being put in place by investment advisers and the need for ...

It may be hard to fathom politicians becoming frustrated with political answers but such was the scene at the March 15th hearing on SEC commissioner ...

The latest effort by the SEC’s Division of Investment Management to encourage mutual fund, ETF and registered investment company advisers to disclose concerns about interest ...

A new office within the SEC’s Office of Compliance Inspections and Examinations will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams. ...

You can now register for the SEC’s national compliance outreach seminar slated for April 19 at Commission headquarters in Washington, D.C. In-person registration is limited ...

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...