"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"
"When charging SPACs with disclosure violations, the Commission should be mindful of the unique nature of SPACs and how they differ from operating companies"
"That’s why I have felt so privileged to lead this mission-driven agency these past four years and do my part on behalf of the American ...
"For too long, misguided efforts to shield retail investors from risk have prevented them from directly accessing private market opportunities. Exploring how retail investors can ...
"I am particularly mindful of the costs associated with the use of mandatory arbitration clauses by investment advisers"
"As the FSOC annual report highlights, certain large multi-strategy and macro hedge funds are significantly leveraged, receiving the vast majority of their repo financing in ...
"We at the SEC have a duty to investors and issuers alike to regularly update our rules to drive greater efficiency and resiliency in the ...
"Starting at the end of 2025, the final rules mandate that clearinghouses require their members clear any Treasury cash trades executed on an inter-dealer broker ...
"The corollary is that practicing a culture of compliance, including self-reporting, remediation, and affording Enforcement staff meaningful cooperation during an investigation, is the best way ...
"It has been an honor of a lifetime to serve with them on behalf of everyday Americans and ensure that our capital markets remain the ...