SEC Operations

They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...

Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...

October 2015. That’s the last time the SEC consisted of its full five commissioners. President Trump’s nomination of Columbia University Law Professor Robert Jackson to ...

We know there are many CCOs who want to improve compliance at their firms.We also know that CCOs are busy and bear a lot of ...

One of the effects we all spend a lot of time talking about – and worrying about—is cybersecurity. Unfortunately, we are all well aware ...

The challenge for the SEC in 2017 is to ensure that its approach to ETPs matures along with the market. Where does this start? ...

Keeping prices of the ETPs in line with their underlying portfolios can be challenging for some types of ETPs. For example, deviations are more ...

The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming from ...

Recently, Commission staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or ...

You knew it was coming and so it has that an investment adviser has formally asked the U.S. Supreme Court to determine the constitutionality of ...