29,375 results found

The SEC appointed Renee Jones as its Division of Corporation Finance Director and John Coates as its General Counsel.

The SEC approved a FINRA proposal requiring member firms to disclose the mark-up or mark-down on retail customer confirmations for most transactions in corporate and agency debt securities.

On February 26, the SEC Chair Mary Jo White hosted a meeting with European Union Financial Services Commissioner Jonathan Hill.

The SEC settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services (ICBCFS) for failing to report suspicious sales...

On June 18, 2019, the SEC issued a concept release requesting comments on, among other things, whether to liberalize the definition of "Accredited Investor"

The SEC's Office of Financial Management released its Registration Fee Estimator, an online tool that calculates registration fees for certain form submissions to the agency's EDGAR database.

In a recent speech, Dalia Blass, head of the SEC's Division of Investment Management, announced that the SEC is focused on expanding retail investor access to alternative fund managers.

On February 27, the SEC announced that the Section 31 fee rate for fiscal year 2015 will remain at the current rate of $18.40 per million.

The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act

SEC .Division of Trading and Markets ("Division") staff instructed security-based swap ("SBS") entities on documentation submissions...

On August 27, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a Risk Alert regarding business continuity and disaster recovery planning for investment advisers.

In a pair of appointments, the SEC named Timothy Husson as associate director in the Division of Investment Management's Risk and Examinations Office and Sara P. Crovitz as deputy chief counsel...

Meeting this morning, the Securities and Exchange Commission formally proposed rules that would require private fund managers to...

The SEC named Erik Gerding as new Division of Corporation Finance Deputy Director of Legal and Regulatory Policy. Mr. Gerding will assume the role on October 4, 2021.

The SEC Office of Investor Education and Advocacy informed investors about features and potential risks of alternative mutual funds that hold non-traditional investments...

On August 8, the SEC announced that it has voted to propose rule amendments to modernize and simplify certain disclosures required pursuant to Regulation S-K since the regulation was first adopted over 30 years ago.

The SEC is advancing rules to tighten standards on the rapidly growing ETF industry despite objections from asset managers, including BlackRock and Invesco, which argue the rules are unnecessary...