SEC

As we just heard, the CAT raises significant data security concerns, both with respect to trading information and personally identifiable information (“PII”). I have ...

Under the amended CAT Plan, LEIs for industry members and customers are not required. This will leave regulators and industry participants near-sighted and unable ...

The speed and impact of some of these developments heighten the need for the consideration of regulation to be both thorough and forward thinking. That ...

But I hope that today’s discussion will go further than simply celebrating the successes, momentum and future promise of FinTech. I encourage the panelists to ...

Formal comments on rulemakings are frequently pivotal for the staff in formulating recommendations for the Commission on pending rules. As I just mentioned, informal inquiries ...

How can the SEC meet the challenges of developing and using data effectively? In recent years, we have made some progress. An important ...

A number of the recommendations have been implemented or partially implemented and the report and its recommendations have also been an important resource for the ...

In addition new Rule 147A and the modifications to Rule 147 for intrastate offerings, the recommendation before us today also includes several changes to our ...

Today’s proposed rule would require the use of universal proxy cards in all contested elections of directors, other than solicitations that are exempt under our ...

All of the changes in today’s rules are made with the view that our state regulators will be closely monitoring offerings under the amended rule ...