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The SEC is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading as DCOs ...
Twelve past staff letters because of Commission action
Jay Clayton
A "broker-dealer or an investment adviser recommending or advising on such products must have a reasonable basis to believe that the recommendation or advice provided ...
Jay Clayton
"Beyond the many regulatory accomplishments during his tenure, Bill provided sage advice to me and countless other colleagues on an array of issues, many of ...
"OCIE, have been conducting initial examinations after the compliance date. Initial examinations of Reg BI and Form CRS have focused on assessing whether firms have made ...
"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...
Hester Peirce
"I do believe that there is room in our regulatory framework for creative investor education programs that give investors the opportunity to simulate trading in ...
"The ability of small and mid-size fund sponsors and other advisers to enter into and compete within the asset management industry is important to provide ...
"It should not provide a grace period for compliance with clear violations of law -- especially violations that put investor funds directly at risk.  Here, ...
Hester Peirce
"So a compliance officer who, outside of her compliance functions, directly violates provisions of the securities laws is liable the same way anyone else would ...
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