SEC Operations

The case centers on the way the Commission replaces its ALJs

"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"

"Firms need to take investor protection and compliance obligations seriously, reining in or curing any conflicts and really delivering the best interest advice that investors ...

"I think it’s important to shine light on these markets before any future such tremors arise"

"Today’s agenda also includes the SEC’s proposal on SPACs. SPACs, as you know, go public in two stages .... these paths don’t offer the same ...

"As you consider the proposal, be mindful of the fact that it addresses more than just SPACs; for example, it would deem any business combination ...

"We also benefit from both private and public markets. Private capital markets, such as venture capital, have brought new ideas to market faster and more ...

This chart is intended to visually guide you through some of the risks that may be present as part of an adviser’s everyday operations

"The FBI estimates that older adults lose nearly $3 billion a year to financial scams. What’s more, the risk of fraud is growing for us all as we ...

"Fraudsters are eager to exploit the combination of wealth and the cognitive decline that may come with age"