"The majority of shareholders now vote through the grant of proxy in advance of the meeting, electronically. In other words, they fill out a ballot, ...
"I remain perplexed as to why the Commission is taking this action and what changed during the roughly ten months between the adoption of the ...
"Because of the features of these products and their associated risks, it would likely be challenging for an investment professional to recommend such a product ...
"Nevertheless, the CAT lives on, so I support granting additional time to resolve a number of implementation issues, which is what today’s order does"
"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure ...
"I am aware of no legal basis for the proposition that by responding to a voluntary request for information, a firm takes on itself a ...
"In a digital age, it is important for filers to have easy, online methods to submit information to the Commission"
"The Commission, however, must be cautious about using the settlement process to obtain voluntary compliance with requirements that it lacks statutory authority to impose"
"We can avoid creating regulatory rip currents by recalibrating our agenda to focus on issues core to the protection of investors and operation of our ...
"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...