SEC Operations

You could count four representatives from RIAs on the initial version of the SEC’s Investor Advisory Committee (IA Watch, June 8, 2009). Today, there are ...

The Customer Issues subcommittee has noted that it will provide specific comments on the Commission’s recent proposal, and today’s recommendations before the Committee also touch ...

In my mind, the investor testing contemplated in the Subcommittee’s recommendation would be valuable not because it could improve investor confidence, but because it could ...

A cadre of Democratic senators, including Elizabeth Warren (D-Mass.) and Bernie Sanders (D-Vt.), has asked SEC Chair Mary Jo White to consider having the Commission ...

Requiring banks to provide the information I have just discussed to the Commission and investors would likely reduce the fear that many investors and regulators, ...

I can report that a very diverse range of companies are using the crowdfunding exemption and that, as of July 18th, there had been over ...

The SEC’s use of in-house administrative law judges has grown ever controversial and has led to increasing legal challenges as to constitutionality (see related story). ...

The same week that the SEC approved amendments to its rules of practice governing administrative proceedings (see related story), a Commission administrative law judge barred ...

While I understand that your discussion today will focus on some important discrete aspects of this proposal, I want to emphasize as well the breadth ...

At yesterday’s open meeting of the Commission, I referenced a 2008 survey conducted by Commission staff on retail investors with respect to corporate annual reports.[1] ...