These amendments implement the congressional mandate in Section 939A of the Dodd-Frank Act (“Dodd-Frank”) to eliminate such references from all of our rules. Since ...
Today, the Commission is again compelled to issue another exemption and exception affecting SBS intermediaries—the tenth over the last four years—because it has not yet ...
I believe there are certain opportunities in this data-driven world for accountants to lead and provide new approaches to the traditional disclosure space, including by ...
In May I submitted my resignation to the President, effective on the appointment of my successor. Over the succeeding months, the need to bring greater ...
The staff could be directed to provide periodic reports to the Commission detailing relevant information about the waiver process, including: (i) a list of ...
The Commission’s recent enforcement action against Edward D. Jones involving the offer and sale of municipal bonds to retail investors highlights the need for clear ...
Two Ukrainian hackers are charged with spearheading the scheme, Ivan Turchynov and Okelsandr Ieremenko. Along with the 30 other defendants, they are collectively alleged to ...
The need for clear and transparent Orders is especially important when Commission actions involve federal securities law violations by Chief Compliance Officers, a subject that ...
I have many objections to the pay ratio disclosure, as set forth in my remarks at the Commission’s open meeting and my comments above. ...
The Commission will today consider three rulemakings, including recommendations from the staff to finalize two mandates of the Dodd-Frank Act – the dealer registration requirements ...