How can we enlist the help of people outside of government in regulating the activities we are responsible for overseeing?
OCIE "searches for signs of fraudulent schemes perpetrated through brokerage and advisory accounts"
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
Chairman looks back and ahead at his regulatory agenda
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
"You should take it upon yourselves to improve communications with your investors"
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
SEC Commissioner Roisman discusses oversight of the U.S. Treasury market
Shared concern for global derivatives markets serves not only to help those markets function well, but to deepen cross-border relationships.
Commissioner Roisman pits market structure against market dynamics
Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is an honor to be ...
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A number of commenters expressly ...
Baby on Board: Remarks before the Society for Corporate Governance National Conference Commissioner Hester Peirce San Diego, California June 28, 2019 A few months ago ...
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For example, up to ...
But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of ...
One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to ...
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...
his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces his readers to ...
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my ...
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