SEC

We face a growing gap in this country between our markets and Main Street investors. The middle class watches our markets rise and increasingly—and correctly—senses ...

Companies, their managers, their boards, as well as their regulators, all need to do a better job in recognizing and addressing the significant risks that ...

We are seeking to harmonize our ultimate securities-based swap rules with the CFTC, where appropriate, to increase effectiveness as well as reduce complexity and costs. ...

We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has ...

As we move forward, then, we have to ask ourselves whether in recent years the underlying strengths of the American corporate form are fully being ...

As many of you have heard me say, the SEC is about its people. We are a human capital organization. We have office space, we ...

Brokers and advisers should be required to mitigate these conflicts, and the standard of conduct by which they provide advice can help ensure that that ...

We also cannot ignore that it is the 21st century. As technology improves and our markets evolve, we need, as best as we can, to ...

Not only is coordination between and among regulators and government authorities critical—but coordination and open communication between regulators and the various participants in the markets ...

While the ultimate impact of Kokesh on SEC enforcement as a whole – and FCPA enforcement specifically – remains to be seen, we have no ...