SEC Operations

Self-reporting also is a valuable tool for parties who want to maximize the benefits available for cooperation. As the cases I just mentioned make ...

A year after a former OCIE examiner resolved his case of violating SEC ethics rules regarding securities holdings (IA Watch, April 28, 2014), another case ...

Seven months after taking over as acting director of the SEC’s Office of Compliance Inspections and Examinations, Marc Wyatt was named the formal OCIE director ...

All across the capital markets, technology and innovation are challenging the old ways of transacting business and old ways of thinking about regulation. There ...

There has also been a full reevaluation of the investor protections provided in the proposal, and those have been tightened where necessary. The recommendation, for ...

Importantly, Regulation Crowdfunding also provides a framework to govern how Crowdfunding intermediaries—such as a registered broker-dealer or a funding portal—can conduct securities offerings. Because these ...

I strongly object to the part of proposed Rule 147 that holds if an offering is conducted pursuant to an exemption from state law registration, ...

Because start-ups and small businesses are inherently risky investments, the CROWDFUND Act also establishes aggregate investment caps. I am pleased that the Commission today is ...

That recent SEC settlement with Blackstone over uneven legal fees features two parties (IA Watch, Oct. 7, 2015). The other was an unidentified law firm. ...

The other matter that the Committee will consider this afternoon are the fundamental changes in trading venue management and operation, including the growth of trading ...