SEC Operations

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 ...

The SEC’s still not commenting on its monumental defeat in the U.S. Supreme Court with a decision that slaps a five-year statute of limitations on ...

It could be the industry’s version of Family Feud – and it’s only beginning.   SEC Chairman Jay Clayton’s call for comments about whether the ...

Four years after the U.S. Supreme Court limited the SEC to bringing legal actions within five years of any alleged misbehavior, the High Court has ...

Ten days after new Labor Department Secretary Alex Acosta encouraged the SEC to enter the fray over a uniform fiduciary duty standard for investment advisers ...

The SEC submitted a 2018 fiscal year budget request of $1.602 billion on May 23—a budget level that is essentially flat when compared with its ...