SEC: Regulators

B-D kept it clean for 20-plus years, Commission says

Former white collar prosecutor returns to Washington

“SEC is notorious for issuing press releases that instantly destroy careers, reputations, businesses, and lives. It is hard to imagine a policy better designed to ...

"I have concerns that as LIBOR is replaced, a number of commercial banks are advocating for replacement indices that are still reliant on short-term, unsecured, ...

"[W]e have to be mindful that asset managers’ interests are not necessarily the same as those of true investors .... the SEC’s regulatory role should be limited ...

Experts see 'a move away from more access,' and toward more openness

Fund advisers need 'some honest self-reflection' as SEC ramps up reform efforts

The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...

The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new

Seven arrests in five separate cases have put plenty of arrows into reformers' quivers.