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When the link between OCIE and Enforcement is closer than the link between OCIE and the SEC’s policy divisions, firms and individuals change the way ...
Simply listing out what actions your client has taken, without more, does not explain the significance of the cooperation. In my view, the more effective ...
Even more difficult to justify was the Dodd-Frank mandate that public companies disclose the ratio of the CEO’s pay to the median employee pay.[10] A ...
Sophisticated algorithms depend on this data being of high quality and being machine readable. When applied to the emerging fields of SupTech and RegTech, there ...
With regard to the obligations of investment advisers, we are also proposing an interpretation to address in one release and reaffirm and, in some cases ...
These look the most like securities. Their creator sells them as a means of raising funds. In one potential example, the issuer may ...
Remarks at the PLI Investment Management Institute 2018 Dalia Blass, Director of the Division of Investment Management New York, NY April 30, 2018 Introduction ...
The Middle-Market IPO Tax Commissioner Robert Jackson, Jr. Cleveland, Ohio April 25, 2018 Thank you so much, Tom, for that kind introduction. It’s a ...
Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...
International Organizations: Learning from the Past to Build for the Future Commissioner Hester Peirce Armonk, New York April 11, 2018 Remarks at the 2018 ...