Holding individuals liable for wrongdoing is a core pillar of any strong enforcement program. A company, after all, can only act through its employees, and ...
Now that we have the JOBS Act rules in place, as well as our new rules to facilitate intrastate and regional offerings, we want to ...
The menu of capital-raising choices available today to small businesses presents more flexibility and more alternatives than ever before. As the effective dates for ...
Ultimately, we have to ask how our rules should work for all small businesses and their investors. These are not simple questions with simple ...
To me, it is a legitimate function of a government and a capitalist society to make sure that once people have done the right things—achieved ...
The speed and impact of some of these developments heighten the need for the consideration of regulation to be both thorough and forward thinking. That ...
But I hope that today’s discussion will go further than simply celebrating the successes, momentum and future promise of FinTech. I encourage the panelists to ...
Formal comments on rulemakings are frequently pivotal for the staff in formulating recommendations for the Commission on pending rules. As I just mentioned, informal inquiries ...
How can the SEC meet the challenges of developing and using data effectively? In recent years, we have made some progress. An important ...
A number of the recommendations have been implemented or partially implemented and the report and its recommendations have also been an important resource for the ...