SEC Operations

"Starting at the end of 2025, the final rules mandate that clearinghouses require their members clear any Treasury cash trades executed on an inter-dealer broker ...

"It has been an honor of a lifetime to serve with them on behalf of everyday Americans and ensure that our capital markets remain the ...

"After all, compliance has costs. There are the actual resources needed to implement effective compliance functions"

"I’ve been proud to serve with my colleagues at the SEC who, day in and day out, work to protect American families on the highways ...

The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.

"Private fund sponsors also are trying tokenization. Again, much of this activity is happening outside of the United States because the regulatory environment here is ...

"We cannot be everywhere all at once. Strong investor protection requires empowered compliance professionals and strong cultures of compliance within firms"

"The SEC’s Enforcement Division remains focused on private fund issues, including lack of compliance with the custody rule and its requirement of prompt delivery of ...

"The nonbank sector provides important alternatives and competition to the banking sector. This competition benefits investors, savers, borrowers, and issuers, as well as banks themselves"

"The Commission needs to start treating companies subject to cyberattacks as victims of a crime, rather than perpetrators of one"