SEC Operations

Among his multitude of accomplishments at the Commission, Irving was the first director of the Enforcement Division. Having worked in several divisions, Irving was ...

To help facilitate and strengthen regulatory reform, the SEC aims to be a thought leader in international discussions because of our extensive regulatory experience. ...

The U.S. equity markets opened normally for trading this morning. We are continuing to closely monitor the markets and have been in regular communication with ...

IA Watch has eyed a new request for information from the SEC that seeks a “portfolio analysis tool” to help the agency and OCIE “to ...

I want to congratulate FINRA and Robert Cook on his selection as President and Chief Executive Officer. Robert served the Securities and Exchange Commission with ...

As I said when we issued the concept release, fair and accurate disclosure means very little if it is provided in a manner that frustrates ...

Once rules requiring the disclosure of markups on riskless principal transactions are in place, we will have implemented two of the three pieces of what ...

The issue of whether the SEC’s appointment of its administrative law judges satisfies the Constitution is moving closer to the U.S. Supreme Court – literally ...

Looks like it might be time to close the book on PageOne Financial and its sole owner and principal Edgar Page. The firm and Page ...

The Commission is now in the midst of another significant phase of market structure review, as technology advancements continue to accelerate the pace of change ...