SEC Operations

My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...

With this pending Roundtable and other policy considerations in mind, the staff of the Division of Investment Management has recently re-examined the letters that the ...

SEC Chairman Jay Clayton has issued a statement stressing that only the Commission can adopt “rules and regulations that have the force and effect of ...

Consider first the SEC’s recent decision to deny an exchange’s bid to list shares of the Winklevoss Bitcoin Trust.[12] I dissented from the disapproval ...

The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner Michael Piwowar, who ...

Those who decry the SEC for so-called regulation through enforcement may have found a new ally.   The newly-formed group New Civil Liberties Alliance has ...

I believe the SEC should be keenly focused on helping small businesses from coast to coast access capital to grow, create new jobs, and, in ...

The Commission is revising the delegations of authority to its General Counsel as a result of the Commission’s experience with its existing rules and to ...

The word “fiduciary” hangs heavily over any discussion about standards for financial professionals. The word carries a lot of different meanings, and legal context ...

    Securities Exchange Act of 1934 – Rule 14a-8 Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capital Management, L.P. July 20, 2018 ...