SEC Operations

OCIE’s been examined and no deficiencies were found – although its documentation procedures could be improved.   Some advisers will find irony in the new ...

A major decision came down July 25 from the SEC’s Enforcement Division declaring that offerings made via blockchain and other new technologies may well be ...

It’s round two for Hester Peirce. President Trump has nominated her to fill a five-year term as SEC commissioner. If that name sounds familiar, it’s ...

There is a lot of work to do, and this issue is complex. That should not deter us, and we are moving forward. ...

I believe that more transparency can provide the right incentives for the private market to compete with the public market, and ultimately foster the capital ...

It’s official. The SEC’s Division of Investment Management has released a new information update formally revising its FAQs for mid-sized advisers to make clear that ...

Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told ...

To explore whether there is a link between the shift to institutional investing and the decrease in IPO activity, I have begun to ask asset ...

Let me give you a concrete example in the context of the investment adviser space. DERA staff currently ingests a large corpus of structured and ...

These differences do not mean that run risk doesn’t exist at funds. And while the money market fund reforms addressed run risk at funds ...