SEC Operations

But I would also ask you, as I did before the last meeting, never to lose sight of the fact that our equity markets need ...

What are the goals of the Committee? In the future, how will the Committee evaluate its success? Not, how will the Commission or the Staff ...

Several “first-of-their-kind” cases. Whistleblower payments totaling $38 million. Victories in all six federal trials launched. More than 800 enforcement actions taken and assessed penalties topping ...

The Senate will soon be able to bring the SEC Commission back up to its full five members. This after President Obama Oct. 20th announced ...

As a woman in law enforcement, I have witnessed both the triumphs and challenges of women in policing. We are all rightly impatient for ...

Addressing a conference in New York Oct. 16, SEC Chair Mary Jo White urged private fund advisers to pay attention to cybersecurity. She also pointed ...

I thought I would highlight some of what we have learned about the risk profiles of private funds that will remain a focus for the ...

Mark Twain once wrote  “There are three kinds of lies: lies, damned lies, and statistics.”   When it comes to the SEC’s reported enforcement numbers, ...

With current legal challenges to the constitutionality of the SEC’s use of its administrative proceedings system in play, there’s one group that hasn’t raised any ...

We have continued to make progress on a number of rulemakings of interest to you. In August, we adopted the “pay ratio” disclosure rule ...