SEC Operations

"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...

"These additional resources are the minimum just for the [Exam] Division to stay abreast of the growth in market participants and make key investments to ...

"The elimination of fixed commission rates thus raised questions for investment managers and the capital markets: for example, would managers be required by their fiduciary ...

"Last year, we filed 784 enforcement actions and conducted approximately 3,000 examinations"

"It’s important to recognize, however, that an AI model’s optimization function may incorporate conflicts of interest between the platform and its customers. When brokers or ...

"[W]e at the Commission need to take a breath and focus on providing clarity to market participants rather than embarking on a more aggressive agenda ...

"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...

"As AI technologies evolve and mature, we will need to stay abreast of any potential risks that they may give rise to"

"Another characteristic of the Treasury markets is the use of leverage often facilitated by prime brokerage relationships between hedge funds and nonbank intermediaries on the ...

"Allowing firms to access markets without having to comply immediately with the full panoply of regulations provides a manageable entry point into highly regulated markets"