SEC Operations

Our financial reporting and corporate disclosure system is essential to well-functioning markets, which are, in turn, essential to the ongoing provision of the goods and ...

Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight.   The ...

A good day for a compliance examiner is helping a firm identify issues and working with that firm to correct those issues in an efficient, ...

The Commission’s enforcement program is not a television show with a season-end cliffhanger. So why are we all standing around talking about it as if ...

Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as ...

is clear that, during the past decade, managers of U.S. companies are communicating more information about how they run their companies, perhaps in an ...

We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortune ...

SEC Commissioner Kara Stein’s tenure is set to expire at year-end, which means she likely won’t be in office when the Commission takes up its ...

Most investors assume that someone who is giving them advice has to put the investor’s interests first. This is, after all, what they are paying ...

The Division is working on several initiatives to help our markets grow and develop for the benefit of all market participants, including Main Street investors. ...