Payton and Durant were sophisticated stock brokers who used highly confidential information about an upcoming transaction to illegally make hundreds of thousands of dollars at ...
The Accredited Investor definition is another important subject for us and for many across the small business community. I know this is an area of ...
For example, how will Reg A+ and Reg Crowdfunding work in practice? What are the best metrics we can develop to measure whether or not ...
Last year was one of great accomplishment for the agency. Enforcement and our National Exam Program again had record years. Not only did ...
Indeed, even plain-vanilla, equity index ETFs may present risks that are not always anticipated or fully understood, as evidenced by the events of August 24, ...
I would argue that the NYSE listing standards, and especially their quantitative standards, have tended to drift downward like a leaf in autumn—or, to use ...
The final rules before us today are integral to the SEC’s regulation of the security-based swap market, representing a key milestone in the completion of ...
Over the course of a few days in 2008, AIG, who had sold credit default swaps (CDS) covering billions and billions of dollars in assets ...
This release is also a great example of consensus-based rulemaking. There are a number of Title VII rules outstanding that I believe could also ...
Your discussion this morning on market volatility and the events of August 24 is both important and timely. As you know, a key element ...