SEC Operations

Formal comments on rulemakings are frequently pivotal for the staff in formulating recommendations for the Commission on pending rules. As I just mentioned, informal inquiries ...

How can the SEC meet the challenges of developing and using data effectively? In recent years, we have made some progress. An important ...

A number of the recommendations have been implemented or partially implemented and the report and its recommendations have also been an important resource for the ...

I find the proposed solution to not receiving the dissident’s proxy statement to be interesting. The company’s proxy statement would simply advise that the ...

First, I objected to the continued use of percentage thresholds as a component of a method for determining the intrastate nature of an issuer. ...

Another area where current conditions in the U.S. Treasury market highlight a need for regulatory convergence is the foundational registration and regulation of intermediaries. ...

Currently, the reports that companies file with the SEC are document-based reports. In particular, the 10-K can be voluminous, with much of the information disclosed ...

The good news is that, within the Commission, the non-economist staff members are some of the biggest fans of the economists. The staff understands that ...

But in the last few years, I’ve witnessed the arrival of increasingly complex data and new analytical methods used to analyze them. And some of ...

So a very real challenge for compliance departments and personnel – both today and in the future -- will be to insure that they have ...