SEC Operations

Today’s robust agenda demonstrates the importance of gathering a diverse set of market participants to address complex, potentially very significant market structure issues. As I ...

At a prior meeting, I challenged the Committee to take ownership of the issues and generate forward momentum for an equity market structure review. You ...

Turning to the work of the Equity Market Structure Advisory Committee, I am pleased to see that we are being presented with two recommendations today. ...

The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...

Strong compliance must permeate your organization at every level. The right tone at the top and a strong CCO are crucial, but not sufficient. ...

Marshall Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, will be leaving the Commission later this month. He has served as co-head ...

You may have doubts that your clients read your Form ADV brochure word-for-word but know that OCIE has technology that scans it, using the findings ...

OCIE staff is working hard to do more with less by improving our efficiency and maximizing our coverage, influence, and impact on our registrants. It ...

Today’s rules are designed to address issues that arise as a result of the complex products and relationships that characterize the security-based swap market and ...

Today’s rule spells out some important protections and business conduct standards mandated by Congress in the Dodd-Frank Act. These include anti-fraud rules, a chief ...