SEC Operations

The invitation is out for you to reserve your spot at one of four upcoming compliance meetings that the SEC will stage this spring.   ...

Securities regulation is not an area where great minds always think alike. The 1963 Special Study sparked the equivalent of a contemporary Twitter war between ...

The staff believes that a Holding Company may not have the characteristics12 of an investment company until it fails the 40% Threshold.13 Accordingly, the staff ...

Reflecting on these events, I think some useful lessons can be drawn. First, when fund complexes outsource critical functions to third parties, they should conduct ...

With data and analysis, the Commission and others can potentially design new tools and new methods of making the most out of the information provided ...

The nominee to serve as the next SEC chairman now officially has a date for his confirmation hearing. Sullivan & Cromwell Partner Jay Clayton will ...

The unionized OCIE examiner worked a four-day, 10-hour per day schedule that allowed him to take off Fridays. But the firm he was examining kept ...

We also must be mindful of the precedent being created. What is the effect on capital formation and emergent public companies when the bundle of ...

Some critics have long argued that the bar to qualify as an “accredited investor” under Regulation D should be ratcheted up. Acting SEC Chairman Michael ...

As engines of economic growth, small businesses can more easily access capital from previously unavailable sources — directly from American investors. Through funding portals and ...