SEC Operations

"We are in contact with NYSE and are closely monitoring the situation and trading in NYSE-listed stocks. While NYSE is working to resolve the situation, ...

Only five SEC enforcement actions in the last 11 years have cited CCOs for violations of the compliance rule, according to SEC Commissioner Luis Aguilar. ...

Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College

The debate carries on despite FINRA not actively pursuing the issue: Should the SRO take on examinations of investment advisers? The latest champion for the ...

Chair white spoke before the SEC Historical Society.

It may be six months before we’ll see a grade that the SEC’s Office of Inspector General gives OCIE. In the OIG’s latest report to ...

Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates

There aren't many details at this time but the SEC has announced a meeting next Wednesday to take up two rule proposals that would affect ...

These comments came at the start of the very first SEC Equity Market Structure Advisory Committee meeting in 2015.

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