Home SEC

SEC

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 ...
Banks will now be allowed to back private equity and venture capital funds for “limited low-risk” transactions, “including risk-less principal transactions” under changes to the ...
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 ...
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 ...
SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
A Brick, N.J. broker-dealer will still have to sit out its suspension for failing to file audited reports with regulators but will be $3,000 richer ...
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
“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 ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination