IA Speeches

"Last month, we finalized a rule that, among other things, will require private fund advisers registered with the Commission to provide detailed disclosure to investors ...

"SEC coordination with state regulators and active engagement with the private sector is necessary to become aware of new developments in order to fulfill our ...

"Market regulators—SROs and the Commission—already have benefitted from CAT in surveillance and enforcement work"

"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...

"Regulators need effective tools to keep pace with these changes, especially considering the potential for new technologies like AI to rapidly amplify the magnitude and ...

"The cumulative costs for CAT may soon be approaching a billion dollars. These are real costs–not theoretical–being incurred imminently"

"The faster the CAT is completed the sooner investors in our markets can realize the full benefits from the strengthened market oversight it is designed ...

"Even if we assume that the Commission’s Dickensian tale of hapless and helpless investors is true, the solution is not more regulation"

The "rules will bring greater transparency to investors regarding preferential treatment, often arranged through side letters. Under the rules, advisers will be able to continue ...

It "is our imperative, our mandate, our responsibility, to protect all investors – large and small .... I have the unfortunate distinction of learning that investors of ...