"I believe each of our agencies have important roles within our respective authorities to enhance the resiliency of the financial system. At the SEC, we’re ...
There "is room for improvement in the transparency of private markets. The SEC is undertaking reforms through updates to Form PF and private fund adviser ...
"Private fund investors often are retirement funds and endowments .... That’s why we proposed a rule to require private fund advisers to provide detailed reporting ...
"The recent frustration and confusion surrounding the exercise of put options on Silicon Valley Bank and Signature Bank stocks when trading was halted demonstrated that ...
IA "numbers have grown significantly in the last five years. Registered investment advisers grew by 22 percent—to about 15,000, up from approximately 12,500 in 2017. ...
"It makes you wonder whether the Commission believes that there is something fundamentally wrong with the markets in the asset management industry. Because unlike the ...
"This proposal recognizes that advisers must take these threats seriously, that clients and investors deserve better disclosure about cyber incidents"
"I am hopeful that broker-dealers and clearing agencies will make efforts to assist retail investors in exercising their options if the investors wish to do ...
"Today’s proposed amendments are a mixed bag of practical improvements and potentially conflicting requirements"
Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"