SEC

The key is that regulation must be smart. Dumb regulation manifests itself in a variety of ways: it puts pointless burdens on business, fails to ...

NASAA and the SEC have a long history of working together to provide a robust regulatory environment for businesses to grow and to protect the ...

Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium

Opening Remarks to the Investor Advisory Committee

Statement on Jury Verdict in Trial Of George Levin Who Raised $157 Million for Scott Rothstein’s Ponzi Scheme

Grading the Commission’s Record on Capital Formation: A+, D, or Incomplete?

It’s a truism that our financial system is globalized, interconnected, and complex – and only grows more so each day. Geographic boundaries have not contained ...

Statement at Open Meeting on Rule 15b9-1 and Reg A+

Statement at Open Meeting on Rule 15b9-1

Statement at Open Meeting on Reg A+