Today’s cybercriminals enjoy significant advantages over small and mid-size businesses. A vibrant and dynamic partnership between the public and private sectors could do much to ...
I thought I would highlight some of what we have learned about the risk profiles of private funds that will remain a focus for the ...
The pricing of Exchange Traded Funds (ETFs), this is a complex matter that is ripe for discussion. As you know, on August 24, 2015, shortly ...
We have continued to make progress on a number of rulemakings of interest to you. In August, we adopted the “pay ratio” disclosure rule ...
I thought I would quickly report to you on two fronts – my customary rulemaking and other initiatives update since your last meeting and then ...
Instead, the majority opinion creates from whole cloth specific requirements for advertisements that include the word “backtest.” Despite the lack of any statutory or regulatory ...
And that is our objective at the SEC—to bring all wrongdoers to justice and return money to harmed investors. In the wake of the ...
In recent years, our securities markets have undergone rapid and significant transformation. Just as with a volcano, the forces of change have largely come ...
But the drafters of the Investment Company Act and Investment Advisers Act devised a regulatory structure with a broad and sturdy foundation. The past ...
Commissioners Daniel Gallagher and Michael Piwowar issue a statement about security-based swap rules
We strongly believe that the Commission must finish its work in this area, especially given that the CFTC completed its rules almost two years ago. ...