SEC

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...

Where do we go from here? The SEC needs to evaluate the cumulative impact of all of these new rules on the securitization markets. ...

Payton and Durant were sophisticated stock brokers who used highly confidential information about an upcoming transaction to illegally make hundreds of thousands of dollars at ...

The Accredited Investor definition is another important subject for us and for many across the small business community. I know this is an area of ...

For example, how will Reg A+ and Reg Crowdfunding work in practice? What are the best metrics we can develop to measure whether or not ...

Last year was one of great accomplishment for the agency. Enforcement and our National Exam Program again had record years. Not only did ...

Indeed, even plain-vanilla, equity index ETFs may present risks that are not always anticipated or fully understood, as evidenced by the events of August 24, ...

I would argue that the NYSE listing standards, and especially their quantitative standards, have tended to drift downward like a leaf in autumn—or, to use ...

The final rules before us today are integral to the SEC’s regulation of the security-based swap market, representing a key milestone in the completion of ...