SEC Operations

Perhaps James Hercules Sutton is only living up to his name. The retired poet and retail investor this month petitioned the SEC to adopt a ...

IA Watch has discovered a new procurement request from the SEC that seeks a vendor that could supply “24/7/365” access to “historical and reference financial ...

It’s unusual for the SEC’s Division of Corporation Finance to issue a “no-action” letter to an investment adviser but that happened July 17th as Crescent ...

The court held that the SEC cannot apply a provision contained in the Dodd–Frank Wall Street Reform and Consumer Protection Act to bar an individual ...

SEC Chair Mary Jo White highlighted the Commission’s enforcement record and complex and far-reaching regulatory efforts during her tenure in defending against claims leveled by ...

Today, we have seen a dramatic increase in women in the judiciary. An unprecedented one-third of the Supreme Court justices are women, all of ...

The Dodd-Frank Act was designed to strengthen our financial system, and the Commission has furthered that goal both through our implementation of the statute and ...

The financial crisis, however, brought into sharp focus the tremendous risks and costs associated with a protracted settlement cycle. The need to better manage risks ...

First, the Commission should consider revising Regulation ATS to make it applicable to alternative trading systems that trade Treasuries exclusively. In addition, the Commission should ...

This change to the SEC's FOIA regulations allows the Commission to collect fees that reflect its actual costs, add an appeals time frame that will ...