The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with information on the SEC's Delinquent Filings Program. http://www.sec.gov/investor/alerts/ib_delinquent_filers.htm
Report to Congress on Credit Rating Agency Independence Study
This report, prepared by the staff of the Office of Credit Ratings (the “Staff”) of the U.S. Securities and Exchange Commission (the “Commission”), is being submitted under Section 939C (“Section 939C”) of the Dodd Frank Wall Street Reform and Consumer Protection Act (the “Dodd Frank Act”) to the Committee on Banking, Housing, and Urban Affairs of the U.S. Senate and the Committee on Financial Services of the U.S. House of Representatives (collectively, the “Congressional Committees”).
http://www.sec.gov/news/studies/2013/credit-rating-agency-independence-study-2013.pdf Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports
The Dodd Frank Act provided the Commission with new authority, and directed it to use this authority to require registered investment advisers to maintain records and file reports regarding the hedge funds, private equity funds and other private funds they advise. The Commission implemented this aspect of the Dodd Frank Act in 2011 when it adopted a new form (Form PF) that requires certain registered investment advisers that advise private funds to report information to the Commission. http://www.sec.gov/news/studies/2013/im-annualreport-072513.pdf