SEC Operations

"We proposed reforms that would require funds and advisers to stand by their ESG claims, and accurately communicate to investors how they are incorporating ESG ...

"This enforcement action involves activity that we believe constitutes fan crowdfunding—a common phenomenon in the world of artists, creators, and entertainers .... The Commission’s application ...

"Last month, we finalized a rule that, among other things, will require private fund advisers registered with the Commission to provide detailed disclosure to investors ...

"SEC coordination with state regulators and active engagement with the private sector is necessary to become aware of new developments in order to fulfill our ...

"Market regulators—SROs and the Commission—already have benefitted from CAT in surveillance and enforcement work"

"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...

"Regulators need effective tools to keep pace with these changes, especially considering the potential for new technologies like AI to rapidly amplify the magnitude and ...

"The cumulative costs for CAT may soon be approaching a billion dollars. These are real costs–not theoretical–being incurred imminently"

"The faster the CAT is completed the sooner investors in our markets can realize the full benefits from the strengthened market oversight it is designed ...

"Even if we assume that the Commission’s Dickensian tale of hapless and helpless investors is true, the solution is not more regulation"