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SEC: Regulators

“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability of certain rules, which the ...
The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...
The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the CFTC did ...
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company ...
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the Commission’s ...
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ...
Even as one firm challenges the SEC’s right to enforce Bank Safety Act violations (see related story), the Commission has filed a federal lawsuit in ...
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means they can’t hold themselves ...
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advisers ...
The Division of Investment Management staff has updated the “Staff Responses to Questions About the Custody Rule” to provide additional guidance regarding specific questions relating ...
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. ...
That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study that ...
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sought ...
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016 ...
With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released ...
The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming from ...
It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until FINRA ...
The DAO is one example of a Decentralized Autonomous Organization, which is a term used to describe a “virtual” organization embodied in computer code and ...
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...
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