Brian Daly retweeted
SEC exams help protect investors by promoting compliance before problems become violations.
Alongside transparent rulemaking, clear expectations, and consistent application of securities laws, our FY27 priorities will strengthen market integrity & reinforce investor confidence.
Alongside transparent rulemaking, clear expectations, and consistent application of securities laws, our FY27 priorities will strengthen market integrity & reinforce investor confidence.
TODAY 🚨: The SEC is announcing the Division of Examinations’ FY2027 examination priorities.
The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud, identify and monitor risk, and inform SEC policy.
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Brian Daly retweeted
This week, Brian Daly, Director of the SEC’s Division of Investment Management, joined Brooke Masters for a fireside chat at the Financial Times Future of Asset Management North America conference to discuss the Commission’s efforts around “responsible retailization” – expanding ssets for retail investors while maintaining the guardrails that underpin fair and resilient markets.
“[The SEC’s efforts are] about incenting advisors to bring alternative exposures to the retail market in a way that makes sense.”
“[The SEC’s efforts are] about incenting advisors to bring alternative exposures to the retail market in a way that makes sense.”
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Brian Daly retweeted
Remarks At The Stanford University Private Capital Roundtable, Brian Daly, Director, SEC ... bit.ly/4egyev4 #alternativeinvesment #pheasantcapitalmanagement
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Brian Daly retweeted
Since the advent of Bitcoin in 2008, the crypto asset market has grown from a niche curiosity into a multi-trillion-dollar asset class to which investors actively seek exposure. Unfortunately, our rules and regulations have not kept pace.
To that end, today’s proposal would provide a clear regulatory framework for the custody of crypto assets, giving investment advisers and funds a compliant pathway where none existed before—and replacing the grey of uncertainty created by custody rules crafted for a bygone era.
To that end, today’s proposal would provide a clear regulatory framework for the custody of crypto assets, giving investment advisers and funds a compliant pathway where none existed before—and replacing the grey of uncertainty created by custody rules crafted for a bygone era.
TODAY 🚨: The Commission proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business development companies.
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Brian Daly retweeted
SEC Proposals Would Broaden Retail Access to Private Markets www.law.com/nationallawjournal/2026/09/30/sec-proposals-would-broaden-retail-access-to-private-markets/
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Brian Daly retweeted
THIS WEEK: The SEC took steps to simplify the process for retail investors to have their voices heard through shareholder voting.
Through a series of no-action letters, SEC staff provided greater certainty to public companies and investment funds desiring to offer their retail ble ways to cast their votes on important matters.
Through a series of no-action letters, SEC staff provided greater certainty to public companies and investment funds desiring to offer their retail ble ways to cast their votes on important matters.
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Brian Daly retweeted
SEC proposes performance fees for retail funds in private markets push ft.trib.al/Wx1FBJa
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Brian Daly retweeted
Today, we remember those we lost on September 11, 2001. We remember their loved ones, and we honor the heroes who rushed toward danger.
In the face of evil, may we be reminded of the unity and strength that defined our nation’s response.
We will never forget. 🇺🇸
In the face of evil, may we be reminded of the unity and strength that defined our nation’s response.
We will never forget. 🇺🇸
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Brian Daly retweeted
Thank you, President @realDonaldTrump!
Under your leadership, we are working hard to return the SEC to its core mandate, embrace innovation, and prioritize investor protection and prosperity. 🇺🇸
Under your leadership, we are working hard to return the SEC to its core mandate, embrace innovation, and prioritize investor protection and prosperity. 🇺🇸
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Brian Daly retweeted
Love seeing the @SECGov re-thinking the role of proxy advisors and shareholder voting sec.gov/newsroom/speec…
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