SEC Operations

This is an SEC document released in April 2019.

It’s a list you don’t want to be on.   “We have a database of thousands of deficiency letters in the IA space,” said Dan ...

Executive Pay Needs a Transparent Scorecard Commissioner Robert Jackson, Jr. April 10, 2019 Shareholders need to know when CEO comp is tied to disappointing results ...

Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference Chairman Jay Clayton Washington D.C. April 8, 2019 Thank you, Stephanie [Avakian], ...

Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets Commissioner Elad Roisman   The SEC Speaks Washington D.C. April 8, 2019 I. Introduction ...

SECret Garden: Remarks at SEC Speaks Commissioner Hester Peirce   SEC Speaks 2019 Washington D.C. April 8, 2019 I would like to begin with the ...

Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afternoon. I hope ...

The SEC finds itself in a squeeze given its must abide by a 1946 Supreme Court decision defining a security when justices then couldn’t have ...

Should the Senate approve President’s Trump’s nominee to the SEC, the Commission would return to full strength with five members. The President April 2 nominated ...

Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a ...