SEC Operations

Reg NMS in particular has come to stand as the Commission’s poster child for unintended consequences and the need for the Commission to institute retrospective ...

Today’s agenda begins with an examination into Regulation NMS. Since the implementation of the rules that comprise Regulation NMS, there has been vigorous and ongoing ...

"SEC litigators have won 22 straight trials in all proceedings. While this streak will undoubtedly end, this is a remarkable achievement. In federal district court, ...

Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer.   That’s the day the SEC and FINRA will partner ...

The conclusions read like something you would find in an SEC deficiency letter—a program lacking specific goals and measures, documented procedures for certain processes and ...

You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...

Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...

Complaints about the SEC taking more cases to its home court administrative law judges versus federal courts have prompted legal challenges. Last week, a federal ...

Internationally, we must find a new way: we must swap our regulatory hubris for humility, and work to find common ground with our international counterparts ...