SEC Operations

'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'

"Registered investment advisers grew by 20 percent .... the number of private funds advised by registered investment advisers increased by 50 percent to approximately 50,000. ...

"Conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. That’s why I’ve asked ...

"Keeping reserve bank accounts up-to-date on a daily basis can provide better customer protection and ameliorate systemic risk"

"Today’s adoption contains the same flaw that tanked the 2014 money market fund rulemaking—an insistence that our own judgment is superior to that of money ...

"The amendments we are proposing today would strengthen the customer protection rule by helping to ensure that broker-dealers maintain sufficient funds to reimburse their customers, ...

"Today’s rule draws upon lessons learned from both 2008 and 2020. First, it removes the link between liquidity fees and redemption gates, on the one ...

"Today’s amendments are narrowly tailored to address the risk that a mismatch may develop and persist between the net cash large broker-dealers owe to their ...

"Today’s rules will amend Form PF for large liquidity fund advisers to align their reporting requirements with those of money market funds. Taken together, the ...

"It would better help to protect the SIPC Fund, particularly from the risk that when a broker-dealer fails, it has a midweek shortfall in its ...