SEC Operations

While it is now clear that U.S. GAAP and IFRS will continue to coexist in our public capital markets for the foreseeable future, it is ...

President-elect Donald Trump has announced that he plans to nominate Sullivan & Cromwell partner Jay Clayton to chair the SEC.   The announcement states that ...

We’ve shared predictions for the regulatory year ahead (see related story). Now eye the regulatory calendar for 2017. These items could change given that a ...

It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...

The core reforms implemented by the Commission since the crisis are indispensable for investors and our markets: comprehensive oversight of the massive swaps market; stronger ...

The SEC will be able to continue to tap the collective insight of a variety of financial services industry pros on equity market structure issues ...

As we begin the transition process to new leadership at the Commission and to having a full Commission, we need to ensure continuity of all ...

Another key player at the SEC will be heading out the door in the New Year. It was announced Nov. 21 that Stephen Luparello, who ...

Ready or not, we are in the midst of a generational shift that will change the securities marketplace. But one thing will not change—investors ...

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 ...