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SEC: Regulators

"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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The SEC's Investor Advocate believes 'strong oversight of advisers’ third-party service providers is necessary' but is 'sensitive' to its compliance costs
SEC Chairman Gary Gensler
"Given that most crypto tokens are subject to the securities laws, it follows that most crypto intermediaries have to comply with securities laws as well"
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The SEC's Division of Investment Management shares its experiences with its new procedures for expedited reviews and provides tips to applicants
Firm was late in disclosing conflicts, SEC claims
SEC Chairman Gensler
"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...
Compliance's 'one-way ratchet' may mean fewer, bigger firms
Gensler's strategic silence may help repair relations with hedge funds
'Track changes' approach gives insight into new regime
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