Hugh Kennedy
Atkins swearing in leaves one more Commission slot to be filled
Letter details five rulemaking priorities that would benefit "the 120 million Americans who use investment funds"
It has been more than 30 years since the SEC last reviewed the Investment Company Act regulatory framework
Time is needed to complete a Commission review of the amendments in accordance with a Presidential Memorandum
FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks
Chair has asked Commission staff to evaluate whether the current AUM split between the SEC and the states reamains optimal
IG concludes that additional oversight and monitoring of the SEC's CAT usage is needed
SRO review aimed at better supporting innovative approaches in conducting business
Capital formation and the "modern workplace" are the two initial areas of focus of broad FINRA review of rules
FINRA's Securities Helpline for Seniors has aided in recovering more than $9.3 million for investors