The SEC’s 2010 restructuring of its Enforcement Division has resulted in the agency taking on more complex cases with a new level of expertise.
The SEC has hired specialists, including
Continue Reading SEC RESTRUCTURING HAS LED TO MORE ENFORCEMENT
SEC Organization
Is the IM Division Changing with the Times? New RIAs Force Looksy With the Advisor’s Act
By Fox Rothschild on
The SEC’s Division of Investment Management has publicly stated that it will review the regulations relating to the Investment Advisers Act of 1940 given the large influx of new RIAs…
Investment Advisers; A Reprieve For Now
By Joshua Horn on
One of the more anticipated and debated outgrowths of the Dodd-Frank Act was the designation of a self-regulatory organization responsible for investment advisers. Yet, it has recently been reported that…
Intriguing Thoughts on Regulatory Sovereignty
By Fox Rothschild on
In a speech by SEC Commissioner Elisse B. Walter, the SEC, apparently, is indicating a significant shift in its view of cross-border cooperation.
Over many years, the SEC has been viewed as…
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SEC’s IG is at it Again
By Fox Rothschild on
Apparently, despite the Inspector General change, the SEC continues to be beset by problems with its internal operations that its Inspector General has recently pointed out. The OIG has detailed in several…
Recent Legislative Initiatives. . . Yes, We Have Reached the Silly Season
By Fox Rothschild on
Despite the fact people are still unemployed, the drought rages and farmers suffer, and the deficit continues to grow, Congress seems to float absurd legislation across the partisan divide to…
Continue Reading Recent Legislative Initiatives. . . Yes, We Have Reached the Silly Season
SEC’s Business Continuity Issues Continue
By Fox Rothschild on
Apparently, despite requiring public companies and regulated entities to prepare for business disruptions, the SEC’s house does not seem to be in order.
In a recent report, the SEC was criticized for…
Will The SEC Address Its Cost-Benefit Analysis?
By Joshua Horn on
The SEC’s obligation to review its proposed rules through a cost-benefit analysis has been under fire for quite some time. More recently, the SEC has been especially criticized in failing…
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FINRA Seeks Expansion At A Time Of Contraction
By Joshua Horn on
Chairman Ketchum is seeking new areas of growth for FINRA. At FINRA’s annual meeting, Ketchum stated that he wanted to see FINRA take on the role as regulator for both retail professionals…
Continue Reading FINRA Seeks Expansion At A Time Of Contraction
“It Feels Like Deja Vu All Over Again”; The SEC Attack On Lawyers
By Joshua Horn on
Yogi Berra’s famous quote seems like it was written for SEC Enforcement Division Director Robert Khuzami, and what has become his all too frequent outcry regarding lawyers who practice before…
Continue Reading “It Feels Like Deja Vu All Over Again”; The SEC Attack On Lawyers