SEC Operations

"This fiscal year, this division is again on track to complete approximately 3,000 examinations [of IAs], which are critical to ensuring that firms comply with ...

That’s why I agree with the ARRC that the Secured Overnight Financing Rate (SOFR), which is based on a nearly trillion-dollar market, is a preferable alternative ...

Many young people, who access our markets through newer technology—are currently interested in investing in our markets, and I believe this is a wonderful development ...

How are investors protected in light of the potential conflicts of interest that may exist when DEPs optimize for platform revenues, data collection, or investor ...

As you discuss digital platforms and other topics in the future, help us to remember that a regulator who always says no or takes too ...

As new technologies come along, we need to be sure we’re achieving our core public policy goals

The Commission would like to hear from you about your experiences with these platforms and their digital engagement practices

The Commission is issuing this Request related to the use and development of digital engagement practices by firms on their digital platforms

The Commission announces a change in how it looks at its whistleblower rules

Self-reporting came with some hassles. “It took a lot more time and a lot more effort, which distracted from our business,” than the firm had ...