"Compliance personnel should closely evaluate account opening procedures, to consider whether practices for selecting default account options or presenting or otherwise highlighting a subset of ...
"We’ve got dozens of projects at the SEC, from the structure of our stock markets to the digital engagement practices"
"Without a common set of conduct expectations, and a functional system to enforce those principles, markets tend toward corruption, marked by fraud, self-dealing, cartel-like activity, ...
"With respect to our Examinations Division, we expect registrants to produce materials and respond to requests promptly. An examination is not an enforcement action. Thus, ...
"We, as a Commission, must remain focused on assessing how our regulations affect these firms, and do what we can to encourage a new generation ...
"Private funds are growing, and today they’re worth about $22 trillion. That’s why I’ve asked staff how we can bring greater transparency to this market in ...
"we recently heard from the public in response to a request for comment about potential conflicts of interest and digital engagement practices, particularly in the ...
"While Congress and the public evaluate this report, we at the SEC and our sibling agency, the Commodity Futures Trading Commission, will deploy the full ...
"We are concerned that these changes have the potential to undermine the effectiveness of the Title VII regime. It is therefore all the more important ...
"While I do not want to sound like Chicken Little, the falling number of public companies over the last twenty-plus years does cause me some ...