SEC Operations

I would argue that the NYSE listing standards, and especially their quantitative standards, have tended to drift downward like a leaf in autumn—or, to use ...

President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...

New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...

Your discussion this morning on market volatility and the events of August 24 is both important and timely. As you know, a key element ...

The Staff’s research note regarding trading on August 24, 2015 is an excellent jumping off point for this morning’s discussions.[1] The events of August ...

And so what's really left in those major categories is to finish Title VII, the over-the-counter securities-based swap regulations. We've proposed all of those rules. ...

The Commission has continued to be quite busy, so let me give you my customary brief update since your last meeting on October 15th.

In addition to Professor Harris, a number of other academics and market participants have identified the need for greater transparency in the fixed income markets. ...

In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...

As I prepare to leave the Commission at the end of this month, I wanted to share some observations about how the Commission has evolved ...