SEC Operations

The staff could be directed to provide periodic reports to the Commission detailing relevant information about the waiver process, including: (i) a list of ...

A U.S. District Court judge Aug. 3 dismissed an SEC motion to dismiss a challenge to its administrative proceedings process. The decision allows the defendant ...

If you’re among those who didn’t know that a defendant who prevails in an SEC enforcement action could seek the government to pay his attorney’s ...

Given that many state public pension plans invest in private equity funds, a collection of 12 state treasurers – from California to Vermont – have ...

Perhaps James Hercules Sutton is only living up to his name. The retired poet and retail investor this month petitioned the SEC to adopt a ...

IA Watch has discovered a new procurement request from the SEC that seeks a vendor that could supply “24/7/365” access to “historical and reference financial ...

It’s unusual for the SEC’s Division of Corporation Finance to issue a “no-action” letter to an investment adviser but that happened July 17th as Crescent ...

The court held that the SEC cannot apply a provision contained in the Dodd–Frank Wall Street Reform and Consumer Protection Act to bar an individual ...

SEC Chair Mary Jo White highlighted the Commission’s enforcement record and complex and far-reaching regulatory efforts during her tenure in defending against claims leveled by ...

Today, we have seen a dramatic increase in women in the judiciary. An unprecedented one-third of the Supreme Court justices are women, all of ...