SEC Operations

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 ...

Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight.   The ...

A good day for a compliance examiner is helping a firm identify issues and working with that firm to correct those issues in an efficient, ...

The Commission’s enforcement program is not a television show with a season-end cliffhanger. So why are we all standing around talking about it as if ...

Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as ...

is clear that, during the past decade, managers of U.S. companies are communicating more information about how they run their companies, perhaps in an ...

We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortune ...

SEC Commissioner Kara Stein’s tenure is set to expire at year-end, which means she likely won’t be in office when the Commission takes up its ...