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SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office
June 08, 2018The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named the Associate Director for the[...]
Read ArticleSEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
June 05, 2018Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds. In[...]
Read ArticleSEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
June 05, 2018Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds. In[...]
Read ArticleSEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
June 04, 2018The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of[...]
Read ArticleSEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
June 04, 2018The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of[...]
Read ArticleSEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
June 04, 2018The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an[...]
Read ArticleSEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
June 04, 2018The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an[...]
Read ArticleSEC Charges 13 Private Fund Advisers for Repeated Filing Failures
June 01, 2018The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information[...]
Read ArticleSEC Charges 13 Private Fund Advisers for Repeated Filing Failures
June 01, 2018The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information[...]
Read ArticleChyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis
May 31, 2018The Securities and Exchange Commission today announced that Dr. Chyhe Kim Becker has been named as the Acting Chief Economist[...]
Read ArticleSEC Names Julie A. Erhardt Acting Chief Risk Officer
May 31, 2018The Securities and Exchange Commission today announced that Julie A. Erhardt has been named the Commission’s Acting Chief Risk Officer,[...]
Read ArticleSEC Charges Investment Banker in Insider Trading Scheme
May 31, 2018The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to[...]
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