SEC Operations

This legislation would give enforcement targets the right to force the SEC to move their cases from the agency's ALJ setting to federal courts.

There are two steps we can and should take right away to address the practice of executives using buybacks as a chance to sell their ...

No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more ...

My point here is not to overwhelm you with the complexity. What I want you to take from this is an appreciation of how important ...

The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is making technical amendments to certain rules of organization and rules of practice to indicate that Commission materials ...

What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended ...

One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten ...

One of the primary ways we do that is with a focus on identifying and charging culpable individuals. Bad actors undermine the hard-earned trust essential ...

When the link between OCIE and Enforcement is closer than the link between OCIE and the SEC’s policy divisions, firms and individuals change the way ...

Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a second ...