SEC

In remarks at the Cato Summit on Financial Regulation, Commissioner Piwowar raises issues like accredited investors and choosing Reg D over Reg A.

Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates

Let me reiterate that banking regulators should not be permitted to expand their reach into capital markets, through “prudential market regulation” or any other means. ...

The recommendations before us today will vastly improve the type and format of the information that funds provide to the Commission and to investors. Investors ...

The proposed amendments should improve the quality and depth of the data that investment advisers disclose and, thereby, enhance the Commission’s risk monitoring and oversight ...

The rule proposals we are considering today represent a very important step forward for the Commission. It is critical for the SEC to change and ...

I am particularly glad that these proposals also take advantage of today’s technology. The information provided on Forms N-PORT and N-CEN would be in ...

She states that Today’s "proposal makes numerous sensible revisions. These revisions should help to modernize the information being reported to clients and the Commission. ...

Ceresney asks if cooperation is worth it? "Does it provide significant enough benefits to make it worthwhile? Particularly given some of the downsides, including ...

These comments came at the start of the very first SEC Equity Market Structure Advisory Committee meeting in 2015.