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Financial Regulatory Reform › Securities and Exchange Commission (SEC) › Investigations

Carlton Fields

SEC Engages in “Targeted, Common-Sense” Reorganization

Carlton Fields on

It has been reported that the Securities and Exchange Commission (SEC) recently reduced head count by an estimated 12% due to the Trump administration’s effort to rapidly downsize the federal government. Particularly hard-hit...more

Venable LLP

Shakeup at the SEC: Recent Changes in Formal Investigative Authority, Regional Directors, and Reductions in Force

Venable LLP on

With all the headlines about changes in federal government structure in recent weeks, it is easy to miss some of the key changes taking place at the Securities and Exchange Commission. In this note, we have summarized three...more

Goodwin

SEC Issues No-Action Relief On Registered Funds’ Custody Of Loan Interests

Goodwin on

In this Issue. The U.S. Securities and Exchange Commission (SEC) was very active this week, having (i) issued no-action relief allowing registered funds to engage in self-custody of interests in loans that are originated,...more

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