Newsmakers
Sam Waldon Named Acting SEC Enforcement Head
Acting SEC Chair Mark Uyeda named the former acting deputy director as acting director of the division of enforcement.
Tag: Mark Uyeda
Regulation
SEC Adopts Private Fund Adviser Rules Aimed at Increasing Transparency
In dissent, Commissioner Peirce said the new rules will harm investors, while Commissioner Uyeda called them ‘arbitrary and capricious.’
Regulation
SEC Adopts T+1 Settlement Cycle
In addition to shortening the settlement cycle, the rules will improve the processing of institutional trades, regulator says.
Regulation
SEC, CFTC Propose Reporting Changes to Keep Up With Private Fund Industry
Regulators cite rapid growth and the increased complexity of the private fund industry for need to amend confidential filing rules.