SEC Operations

"The regulatory gap described, therefore, is more optical than substantive; closing it amounts to little more than grade-grubbing"

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...

"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"

"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...

"The rule’s invocation of the term 'material' is a red herring"

"Rules of such broad effect should be set by the full Commission, not by staff answering only to the Chairman"

"I was surprised to learn when I came to the SEC that the Commission actually didn’t have its own best execution rule"

"I was pleased to support these amendments because they modernize a 22-year-old rule to better protect investors in a digital age"

"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...

The SEC’s new annual report to Congress about Form PF provides some insights into how the Commission uses private fund data, and how it attempts ...