James H.R. Windels

Industry Update Director of Division of Investment Management Testifies About Division Oversight Co-Director of SEC Enforcement Steven Peikin Gives Remarks on Remedies and Relief in SEC ...

Rules and Regulations SEC Withdraws Two No-Action Letters Ahead of November Roundtable Industry Update Statement on Investor Roundtables Regarding Standards of Conduct for Investmen...

Industry Update SEC Chairman Gives Remarks on Capital Formation Litigation Regulators Step Up Enforcement on Crypto Firms SEC Resolves FCPA Allegations Against U.S.-Based Investme...

Rules and Regulations SEC Rejects Proposed Rule Change for Bitcoin ETF Industry Update Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals SEC Launches N...

Rules and Regulations SEC Rejects Proposed Rule Change for Bitcoin ETF Industry Update Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals Litigation S...

Rules and Regulations SEC Proposes New ETF Rule SEC Adopts Inline XBRL for Tagged Data SEC Adopts Amendments to the Liquidity Disclosure Rule SEC Proposes Whistleblower Rule Amendments ...

Rules and Regulations SEC Proposes Whistleblower Rule Amendments Industry Update SEC Releases Strategic Plan for Fiscal Years 2018-2022 Litigation SEC Charges New York-based Investme...

In an evolving securities landscape, examinations of investment advisers remain a key priority for the SEC’s Office of Compliance Inspections and Examinations (OCIE). By understanding O...

The recent convictions of two traders for using hacked press releases and the settlement of SEC insider trading charges against a former Equifax manager highlight the significant insider ...

Rules and Regulations SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure and Fees Related to Forwarding Fund Materials SEC Proposes FAIR A...