SEC Operations

Executives at the Atlanta advisory firm Timbervest vowed to fight on after a 2015 unanimous decision by SEC commissioners found they had cheated a client ...

A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ ...

Outdated rules can impose significant costs on market participants. These costs are why I oppose the mandating of specific technologies in our rules. To ...

The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal ...

A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ultimately lead back ...

Broker-dealers and investment advisers are different, and their compensation models are different. One investor may find the services and fees of a broker-dealer a ...

The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it difficult for ...

The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC ...

The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disgorgement and ...

Our financial reporting and corporate disclosure system is essential to well-functioning markets, which are, in turn, essential to the ongoing provision of the goods and ...