SEC Operations

If you’ve ever had to castigate an employee for failing to report security purchases proscribed by your code of ethics, know even the SEC runs ...

"Today’s amendments would change this requirement for the largest broker-dealers to daily computation rather than weekly"

"The rule the Commission is adopting today increases, for the largest broker-dealers, the frequency at which they must perform the reserve calculations"

"The adoption of the final amendments has been rushed in an apparent attempt to be promulgated prior to the end of the Biden Administration"

"Today’s amendments build on more than 20 years of Commission actions to modernize filing and recordkeeping requirements"

"The Commission’s apparent insatiable appetite to obtain and store more and more surveillance data in its systems grows with each rulemaking—with little consideration on issues ...

"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"

"When charging SPACs with disclosure violations, the Commission should be mindful of the unique nature of SPACs and how they differ from operating companies"

"That’s why I have felt so privileged to lead this mission-driven agency these past four years and do my part on behalf of the American ...

"For too long, misguided efforts to shield retail investors from risk have prevented them from directly accessing private market opportunities.  Exploring how retail investors can ...