SEC: Regulators

SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...

President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...

Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.

The Department of Labor has quietly updated ERISA rules to require private pension plan fiduciaries to put financial returns ahead of sustainable goals in investing, ...

Due to Commission rulemaking, the Division of Investment Management withdraws no-action letters issued between 2008 and 2015

The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.

Fund advisers will be allowed to risk up to 200% of their firms’ portfolios’ value in derivatives under first-of-their-kind rules adopted by a divided SEC ...