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Cryptocurrency

When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...
SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...
If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...
Jay Clayton
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
Hester Peirce
"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...
Hester Peirce
"The resulting settlement orders and litigation releases leave the industry to guess at the path to compliance.  Candidly, given the approach we have taken, I ...
Prompt notification of risk monitoring analyst requested
The Commission continues to interpret the term ‘‘virtual currency’’ broadly
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
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