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SEC Operations

William Birdthistle
"In my first six weeks at the agency, the Commission published several Advisers Act rule proposals that directly impact investment advisers and take steps toward ...
SEC Chairman Gensler
"Proposed Rule 13f-2 would make aggregate data about large short positions available to the public for individual equity securities"
SEC Commissioner Hester Peirce
"Today’s proposal would establish a framework for doing this on an aggregate basis for institutional investment managers with gross short positions in certain equity securities ...
"As the collapse of the family office Archegos Capital Management last March showed, security-based swaps continue to have an important impact on our markets. Total ...
This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C
"Lurking behind the legal analysis, however, is an important question:  Is the approach we are taking with crypto lending the best way to protect crypto ...
SEC Commissioner Hester Peirce
"The Commission invents investor harm and unduly paints the selling shareholder as a victim"
SEC Commissioner Hester Peirce
"Absent some pressing need to remedy inadvertent oversights, address unanticipated consequences, or deal with significant new factual developments, revisiting recently adopted rules subverts the regulatory ...
"Under this proposal, the SEC could pay such claims if the alternative whistleblower award program was not comparable to the SEC’s award program"
Gary Gensler
"It would shorten the filing deadlines for Schedule 13D and Schedule 13G from 10 to 5 days, and 45 days from the end of the ...
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