SEC Operations

the Enforcement Division successfully used the sweep technique to raise industry awareness of an important investor protection rule that had not previously been charged in ...

Steve Luparello, our Director of the Division of Trading and Markets, is about to update you on some of our equity market structure work and ...

Just a one day change will help mitigate the risks of an unnecessarily long settlement cycle that have persisted despite rapid improvements in technology.[4] ...

I have settled on three topics for today – one regulatory, one supervisory, and one from the enforcement space. The first topic is the ...

It is important for participants in misconduct to understand that, in many circumstances, they are eligible for awards and we would like to hear from ...

Any discussion about transparency in the financial markets is sure to raise vigorous debate, and the current discussion concerning pre-trade price transparency in the bond ...

This time of year usually produces the SEC’s report on how it uses your Form PF data. It’s little surprise that much of the agency’s ...

I think it is worth asking whether the tax benefits of municipal bonds, which were presumably intended (at least in part) to incentivize investment in ...

I have serious concerns, on due process and other grounds, about the Commission imposing sanctions that are neither requested by the Division nor found by ...

You state that you seek the same exemptive relief from Rule 102 of Regulation M, as granted in the Original Relief, to permit RBSG and ...