SEC Operations

But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of ...

One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to ...

One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...

his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces his readers to ...

Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Division in March, she doesn’t see ...

Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my ...

Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged ...

Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...

“It’s very frustrating,” says another source close to the issue

To create an interdivisional taskforce at the Securities and Exchange Commission for senior investors.