The SEC's branch in charge of compliance recently published a warning to remind advisers to comply with rules regarding electronic communications.
The SEC's compliance wing recently announced its examination priorities for 2019, providing a preview of key areas it intends to focus its resources.
The SEC held its annual Government-Business Forum on Small Business Capital Formation at the Ohio State University in Columbus.
SEC Chairman Jay Clayton spoke on middle market topics at the last IAC meeting, the FSOC published its annual report and Congress tries to avoid a shutdown.
The National Center for the Middle Market hosted the Government-Business Forum, Pres. Trump backed opportunity zones and the Senate raised debt concerns.