SEC Operations

Last week's SEC roundtable on cybersecurity painted a disquieting picture of the potential risks from bad elements intent on causing mischief within the connected world ...

Beginning next month and running through June, the SEC and FINRA will stage joint programs "open to all risk, audit, legal and compliance professionals employed ...

It's not very likely to get anywhere in Congress, but the SEC's new budget justification plan asks for 275 new positions to raise the percentage ...

We told you last week that OCIE plans a sweep exam to gauge firms' ability to prevent and deal with cyber threats (IA Watch, March ...

Perhaps no regulatory issue being contemplated at the SEC can affect you more than harmonization - linking the investment adviser and broker-dealer regimes. Last month's ...

Last month, SEC Chair Mary Jo White laid out her vision for what she'd like the Commission to achieve this year (IA Watch, Feb. 3, ...

Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and request ...

You can anticipate SEC commissioners to be busy this year finalizing money market fund reforms, passing new disclosure rules for asset-backed securities and taking final ...

Agreement among lawmakers to support a proposed $1.1 trillion federal budget for this fiscal year not only means no more federal government shutdowns until at ...

Most SEC enforcement actions occur outside a courtroom and result in settlements with the agency. Some are kept confidential. To combat that reality, two senators ...