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SEC: Regulators

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, ...
Close up concept shot of fingers walking crawling up a pile of one hundred dollar billshttp://195.154.178.81/DATA/i_collage/pi/shoots/783303.jpg
Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios
Group of people sitting at a conference table having meeting and talking.
SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...
William Birdthistle
"I would like to proselytize how invaluable Form PF data has been in the hands of regulators seeking to stay abreast of an increasingly complex ...
Japanese businesspeople talking about social distance in a conference room
Based on the facts and representations made in your letter, we would not recommend enforcement action to the Commission under Section 17(d) of the 1940 ...
"For us at the SEC, we have a three-part mission, focused ultimately on making sure that the markets—broker-dealers, the investment advisers, so-called intermediaries in the ...
SEC Chairman Gary Gensler
"Conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. That’s why I’ve asked ...
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