SEC Operations

The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...

SEC remains 'fully operational'

Strings attached if you wish to delay filing Forms ADV and PF

It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.

Justices wondered if disgorgement goes to harmed investors or lands in the Treasury

“Congress has never given the SEC authority to seek and obtain an order of disgorgement from a district court”

The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers

OCIE seeks to add four positions to examine for compliance with new fiduciary duty rules and cybersecurity

Institutional investors and asset managers are not the only investors that the SEC is charged to protect

It's critical that the asset management industry include women and men with diverse backgrounds and perspectives