Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
On August 7, 2025, President Trump signed an executive order titled “Democratizing Access to Alternative Assets for 401(k) Investors,” designed to open the use of alternative investments, including private equity and actively...more
Since the enactment of the Investment Company Act 85 years ago, the asset management industry has grown from $2 billion in assets to more than $39 trillion in assets. Under existing Securities and Exchange Commission (“SEC”)...more
With environmental, social, and governance (ESG) principles garnering increased attention in corporate circles in recent years, there has been an accompanying rise in demand for analytical products that evaluate companies’...more
On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission (the “Examinations Division” and “SEC,” respectively) announced its 2021 examination priorities, which, as in previous years, provide...more
In August 2020, the SEC issued two orders against VALIC Financial Advisors Inc. (VFA) related to VFA’s management of 403(b) and 457(b) plans. These matters arise out of two of the SEC’s enforcement initiatives, the Teachers...more
The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries. This Bottom Line...more
A key focus of SEC enforcement has been the retail investor. To that end the Division formed a special unit to focus on cases tied to those investors. Numerous cases have been brought. That focus may also be at least in part...more
The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more
Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more
At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more
Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more