SEC Operations

SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016 ...

Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response by ...

Brokers and advisers should be required to mitigate these conflicts, and the standard of conduct by which they provide advice can help ensure that that ...

We also cannot ignore that it is the 21st century. As technology improves and our markets evolve, we need, as best as we can, to ...

Five years after the SEC charged Ray Lucia over backtested performance claims, his case has sparked the Commission to ratify its five ALJs to “put ...

Not only is coordination between and among regulators and government authorities critical—but coordination and open communication between regulators and the various participants in the markets ...

Regulators continue to caution the industry and investors on the potential pitfalls of initial coin offerings. SEC chairman Jay Clayton is the latest to weigh ...

The First Amendment’s been in the news again lately, prompting debate about football players kneeling during the national anthem. One aspect of the amendment allows ...

While the ultimate impact of Kokesh on SEC enforcement as a whole – and FCPA enforcement specifically – remains to be seen, we have no ...