SEC Operations

"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...

"Our capital markets are the deepest, most liquid, and most trusted in the world. Through this agenda, we seek to keep it that way"

"Given that most crypto tokens are subject to the securities laws, it follows that most crypto intermediaries have to comply with securities laws as well"

Later this month, the SEC’s Investor Advisory Committee is scheduled to take up draft recommendations designed to ensure that more investment advisers are examined

The SEC's Division of Investment Management shares its experiences with its new procedures for expedited reviews and provides tips to applicants

"The rule is designed to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from taking ...

"Protecting the independence of these CCOs’ work protects investors and benefits market integrity"

"Will subjecting every interaction between employees and a CCO to potential legal liability empower the CCO to do her job or simply make employees less ...

The "final rule does not contain any safe harbor for hedging activities arising out of lending activities"

"The integrity of the swaps market depends on CCOs being able to perform this role free from coercion, threats, manipulation, and any other form of ...