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A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...
SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...
The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...
A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...
A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...
SEC staff are “re-examining” rules that keep Main Street investors out of private, closed-end funds, and considering rules that would allow some retirement funds to ...
In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...
Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...
Republican SEC Commissioners on July 22 approved the first-of-their-kind rules for proxy advisors. Among other things, it defines proxy advice as “solicitation” under Sec. 14(a) ...
The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...
Sideletter
SEC Chairman Jay Clayton told top officials in the Trump Administration he was interested in the Manhattan federal prosecutor’s office less than a week before ...
Currently serves as SEC senior counsel
In an 8-1 decision, the Supreme Court on June 22 held that, in an SEC enforcement action, a disgorgement that does not exceed a wrongdoer’s ...
Sideletter
SEC Chairman Jay Clayton has found himself engulfed in the ongoing controversy over the top prosecutor’s job in the critical Southern District of New York. The saga began ...
The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
The SEC is seeking comment on new regulations that would allow boards of registered funds to delegate valuations to firm investment advisers—regulations that if adopted ...
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