SEC

This has been a strong year for the Division of Enforcement. But you do not need to take my word for it. ...

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 ...

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 ...

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

Last year our Division of Enforcement formed an internal Retail Strategy Task Force to bolster our capabilities and focus on protecting Main Street investors. [2] ...

There are many familiar methods for communicating, monitoring and reinforcing cultural objectives — compliance programs, policies and procedures, training, personnel decisions (including evaluations and compensation), ...

There are two steps we can and should take right away to address the practice of executives using buybacks as a chance to sell their ...

My point here is not to overwhelm you with the complexity. What I want you to take from this is an appreciation of how important ...

One of the primary ways we do that is with a focus on identifying and charging culpable individuals. Bad actors undermine the hard-earned trust essential ...