SEC Operations

When the federal fiscal year ended Sept. 30, OCIE had achieved its highest number of annual exams in seven years. Its IA/IC exams topped 1,600 ...

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 ...

After nearly four years atop the SEC, Chair Mary Jo White has announced she will leave with the Obama Administration.   She joined the Commission ...

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 ...

In the early hours of Wednesday, when overseas markets initially sank on the news that Donald Trump was the president-elect, the SEC reached out to ...

SEC commissioners have unanimously found that a Houston-based advisory firm and its two principals failed to adequately disclose a revenue-sharing arrangement. But only two of ...