SEC Structure

Two Securities and Exchange Commissioners – the agency’s two newest members – offered contrasting views of the commission’s use of its enforcement powers.

Among other issues,

Now that 2014 is here, it is a good idea to understand what the Enforcement Division might focus on this year.  In a recent article that appeared in the BNA,
Continue Reading What To Expect In 2014 From The SEC’s Enforcement Division

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

Continue Reading Is the IM Division Changing with the Times? New RIAs Force Looksy With the Advisor’s Act