Pay ratio disclosure should provide a valuable piece of information to investors and others in the marketplace. It will allow investors to evaluate how this ...
They are vital steps for putting in place a registration framework for SBS dealers and major participants. I note, however, that the registration rules will ...
The adopting rules require a senior officer of the applicant to certify that, after due inquiry, he or she has reasonably determined that the applicant ...
SEC Commissioner Michael Piwowar provides his view of security-based swaps registration requirements
My concerns with this release include the repeated use of certifications as part of the registration process. I disagree with these provisions in part because ...
These new registration rules are fairly straightforward. They establish registration forms and certifications that the Commission needs to register entities that will be trading a ...
During my tenure I have repeatedly called on the Commission to tread carefully when bringing enforcement actions against compliance personnel, who are often the only ...
The court held that the SEC cannot apply a provision contained in the Dodd–Frank Wall Street Reform and Consumer Protection Act to bar an individual ...
Today, we have seen a dramatic increase in women in the judiciary. An unprecedented one-third of the Supreme Court justices are women, all of ...
The Dodd-Frank Act was designed to strengthen our financial system, and the Commission has furthered that goal both through our implementation of the statute and ...
The financial crisis, however, brought into sharp focus the tremendous risks and costs associated with a protracted settlement cycle. The need to better manage risks ...