SEC Operations

Could the days of SEC ALJs be numbered?

"To better address pricing and reduce dilution in times of stress, we proposed so-called swing pricing as well as alternatives regarding liquidity fees. Such swing ...

I am incredibly proud of the Division’s work in the first 16 months of my tenure. During that time, IM’s rulemaking staff have drafted rule ...

"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...

"I’m optimistic that the Commission’s updated cybersecurity rules will result in market participants taking the necessary and reasonable steps to protect their information systems from ...

"Given the increase in U.S. interest in international investments, the SEC should be respectful of the differing regulatory regimes developed by foreign jurisdictions"

It "might go without saying, but there would be quite a raging fire if the U.S. Treasury were to default on the debt"

Recent "failures by certain U.S. regional banks have raised questions as to whether those boards had sufficient knowledge and appreciation of interest rate risks associated ...

"One significant concern relates to the potential for the SEC to adopt final complex rules with compliance dates in close proximity to each other"

"In light of this, effective disclosures regarding cybersecurity practices protect investors, ensure that an issuer’s critical systems are secure, and instill confidence that issuers have ...