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SEC Names Marc Wyatt as Deputy Director of National Exam Program

The Securities and Exchange Commission today announced that Marc Wyatt has been named Deputy Director of the agency's Office of Compliance Inspections and Examinations (OCIE). Mr. Wyatt joined the SEC in December 2012 as ...

Availability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information

The staff of the Securities and Exchange Commission today made available analyses of data on the reporting and dissemination of security-based swap transaction information.  The analyses are posted on the SEC’s websi...

SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds

The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised from investors for ...

Staff Letter (No-action request under Section 205(a)(1) of the Investment Advisers Act of 1940)

No-action request under Section 205(a)(1) of the Investment Advisers Act of 1940

Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T

Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T

Staff Letter (No-action relief under rule 206(4)-3 under the Investment Advisers Act of 1940)

No-action relief under section 206(4) of the Investment Advisers Act