SEC

I also very much welcome your discussion this afternoon of Regulation D, one of the primary engines of capital formation in this country. Approximately ...

In light of this history, what is the best way to supplement the definition of “accredited investor”? The staff of the Division of Corporation ...

It is thus critically important that advisers disclose all material information, including conflicts of interest, to investors at the time their capital is committed. While ...

Importantly, in implementing our statutory crowdfunding mandate, the SEC’s rules seek to maintain strong investor protections, while also streamlining capital formation for smaller issuers. These ...

Disclosure, and our concept release, are both still stuck in the paper world. Sure, you can view the reporting forms on the Internet, and ...

The consolidated audit trail will greatly strengthen our ongoing efforts – through regulation, examination, and enforcement – to ensure that the U.S. equity markets remain ...

It is important because if the various reporting entities have clocks that are up to 50 milliseconds off, it means that the time stamp on ...

Then-Chairman Schapiro described the CAT as a “great leap forward.”[1] She was, and is, absolutely right. But our “great leap forward” is not ...

Today’s robust agenda demonstrates the importance of gathering a diverse set of market participants to address complex, potentially very significant market structure issues. As I ...

At a prior meeting, I challenged the Committee to take ownership of the issues and generate forward momentum for an equity market structure review. You ...