SEC

Importantly, Regulation Crowdfunding also provides a framework to govern how Crowdfunding intermediaries—such as a registered broker-dealer or a funding portal—can conduct securities offerings. Because these ...

I strongly object to the part of proposed Rule 147 that holds if an offering is conducted pursuant to an exemption from state law registration, ...

Because start-ups and small businesses are inherently risky investments, the CROWDFUND Act also establishes aggregate investment caps. I am pleased that the Commission today is ...

I am concerned that the proposal may go too far in changing the distinctly local nature of these offerings that led to the original congressional ...

We have an obligation to implement them in a way that protects individual investors, promotes a general confidence in the new markets, and is workable ...

The other matter that the Committee will consider this afternoon are the fundamental changes in trading venue management and operation, including the growth of trading ...

But I would also ask you, as I did before the last meeting, never to lose sight of the fact that our equity markets need ...

What are the goals of the Committee? In the future, how will the Committee evaluate its success? Not, how will the Commission or the Staff ...

A critical aspect of our current regulatory efforts with respect to operational integrity relates specifically to the overwhelming dominance of trading algorithms in today’s electronic ...

As a woman in law enforcement, I have witnessed both the triumphs and challenges of women in policing. We are all rightly impatient for ...