SEC Operations

There is also a distinct lack of information about many online platforms that list and trade virtual coins or tokens offered and sold in Initial ...

SEC chairman Jay Clayton appeared to downplay chances that regulators would be able to agree on a single fiduciary standard suitable for all investors and ...

The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in ...

All eyes and ears trained on the SEC’s two commissioner nominees when they appeared before the Senate Banking Committee on Oct. 24. Despite the nominee ...

The SEC continues to fill key senior key positions that should result in increased rulemaking. The latest move was the Oct. 18 Commission announcement that ...

After considering our market structure accomplishments over the past few years, and the potential we have for work in this space given the Commission’s current ...

For SEC nominee Hester Peirce it looks like the long wait for a confirmation hearing on Capitol Hill is almost over.  Confirmation hearings for both ...

In a highly anticipated OCIE risk alert released last month, the National Exam Program called out that cybersecurity remains one of the top risks for ...

Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...

Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...