Given the vital role that CCOs play, they need to be supported. Simply stated, the Commission needs capable and honest CCOs to help protect investors ...
We look forward to working with our fellow Commissioners and the staff, as well as partnering with market participants to shorten the settlement cycle as ...
A Threefold Cord1 — Working Together to Meet the Pervasive Challenge of Cyber-Crime
She takes on four topics: preliminary voting results, universal proxy ballots, unelected directors and shareholder proposals.
Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College
Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7
This year marks the 75th anniversary of the Investment Company Act of 1940 (the “Investment Company Act”), which established the regulatory framework for registered investment ...
She states that the "next challenge is to bring to life additional coding schema that will enable a new depth of data aggregation. The development ...
Chair white spoke before the SEC Historical Society.
Commissioner Gallagher continues his theme about what he calls the "Crazy Quilt Chart of Regulation."