SEC

At yesterday’s open meeting of the Commission, I referenced a 2008 survey conducted by Commission staff on retail investors with respect to corporate annual reports.[1] ...

Today’s action marks the last significant step in adopting rules for transparency in security-based swap transactions. Next in line will be to finalize the remaining ...

One of the greatest lessons we learned during the financial crisis was that both regulators and the public did not understand the risks posed by ...

The transparency that the proposed rule would provide to customers about the handling of their orders also holds great promise. Like our proposal last fall ...

Updating our regulations to remove overlapping or superseded provisions is unlikely to be viewed as cutting-edge, headline-grabbing work. But let that not be a reason ...

While this is another step toward completing the rules for security-based swaps, we have yet to finish the work set for us six years ago ...

In addition to improvements in the reports provided to institutional investors, the proposal would require broker-dealers to provide quarterly reports regarding their retail order routing ...

Despite its 500 plus page length, this proposal may be framed in such a hyper-technical way that it fails to provide a bonafide opportunity for ...

While the study gives some comfort that more Americans today are on firmer financial footing than in 2012, it also suggests that financial knowledge has ...

The delay in issuing a T+2 proposal is wholly unacceptable. That the rulemaking has languished is not only frustrating to me personally, but is ...