SEC Operations

This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...

Depending upon what side of the case you sit on, Ken Sandhu is either obsessed with what he sees as an injustice or is a ...

An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, ...

Last month, the SEC’s regional office in Fort Worth, Texas, held a free dial-in call for registrants to share what’s hot on exams.   “We ...

The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But ...

Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...

We are seeking to harmonize our ultimate securities-based swap rules with the CFTC, where appropriate, to increase effectiveness as well as reduce complexity and costs. ...

We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has ...

As we move forward, then, we have to ask ourselves whether in recent years the underlying strengths of the American corporate form are fully being ...

As many of you have heard me say, the SEC is about its people. We are a human capital organization. We have office space, we ...