"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...
"Shortening the cycle also means reducing the credit, market, and liquidity risks of the clearinghouse. Lowering risks for market participants and clearinghouses, alike, reduces the ...
"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...
"One classic government failure is to seek to influence capital flows in the 'right' direction"
"It has been well documented that in the lead up to the financial crisis, pay structures often encouraged big bets that maximized short-term profits but ...
"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...
"These additional resources are the minimum just for the [Exam] Division to stay abreast of the growth in market participants and make key investments to ...
"The elimination of fixed commission rates thus raised questions for investment managers and the capital markets: for example, would managers be required by their fiduciary ...
"Last year, we filed 784 enforcement actions and conducted approximately 3,000 examinations"
"It’s important to recognize, however, that an AI model’s optimization function may incorporate conflicts of interest between the platform and its customers. When brokers or ...