SEC

Turning to the work of the Equity Market Structure Advisory Committee, I am pleased to see that we are being presented with two recommendations today. ...

Strong compliance must permeate your organization at every level. The right tone at the top and a strong CCO are crucial, but not sufficient. ...

Although there is overlap in the topics covered in FSOC’s update and the SEC’s proposed reforms, it should be understood that the SEC’s analysis of ...

OCIE staff is working hard to do more with less by improving our efficiency and maximizing our coverage, influence, and impact on our registrants. It ...

Today’s rules are designed to address issues that arise as a result of the complex products and relationships that characterize the security-based swap market and ...

Today’s rule spells out some important protections and business conduct standards mandated by Congress in the Dodd-Frank Act. These include anti-fraud rules, a chief ...

The Division of Enforcement is also making great use of new tools. In insider trading investigations, for example, the Division uses sophisticated software to ...

As an integral part of the implementation of each one of these new tools, I have drawn on the expertise of the staff across the ...

Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in ...

Today, I am very pleased to say that I am not the first at something. I am, in fact, the third woman to serve ...