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SEC: Regulators

"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...
Religious Freedom and The Supreme Court
Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...
Asian woman watching hologram screens. Business and technology concept. Smart office. GUI (Graphical User Interface).
Regulators may not be able to keep up with the speed of artificial intelligence’s development
"One classic government failure is to seek to influence capital flows in the 'right' direction"
"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...
modern woman worker in a light business suit in modern green office with documents and laptop.
The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...
A detective with a magnifying glass in his hand
Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...
Man holding big stack of US paper currency by safety deposit boxes. Focus on money
You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
"Investments in alternative asset classes are growing .... This growth means that investors are increasingly allocating assets to unregistered funds by investing directly through products ...
"The fundamental problem is that we are not examining investor protection, efficiency, competition, and capital formation in a steady state ecosystem. Rather, it is fast-changing, ...
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