As regulators, we also have a responsibility to ensure that our rules are functioning as intended and in an effective and efficient manner. We must ...
We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “investment opportunities”, or sat ...
Our work as regulators is not a "zero sum game." A rising tide lifts all boats. Adopting high quality regulatory standards and cooperative relationships create ...
Securities regulation is not an area where great minds always think alike. The 1963 Special Study sparked the equivalent of a contemporary Twitter war between ...
Reflecting on these events, I think some useful lessons can be drawn. First, when fund complexes outsource critical functions to third parties, they should conduct ...
With data and analysis, the Commission and others can potentially design new tools and new methods of making the most out of the information provided ...
If adopted, the rule would improve public access to information about certain financial obligations incurred by issuers of municipal securities and obligated persons outside the ...
We also must be mindful of the precedent being created. What is the effect on capital formation and emergent public companies when the bundle of ...
Inline XBRL for the required interactive data submissions of operating companies and mutual fund filers is expected to facilitate improvements in the quality and usefulness ...
The main reason for the hyperlinking requirement is a practical one – it will make it easy for someone trying to find a company’s articles ...