"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"
"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...
"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"
"Assuming those inspiring words did not convince my colleagues to postpone this rulemaking until we undertake a moonshot harmonization project, let me highlight some other ...
"The events of the last week are a reminder of the importance of these resiliency projects for everyday Americans"
Gensler seeks to calm nerves following the failure of the Silicon Valley Bank and others
"The SEC’s current regulatory agenda is ambitious, with such an extensive list of proposals not seen since the 2008 financial crisis and the enactment of ...