SEC Operations

The report excoriates SEC IG Carl Hoecker for not being honest

"We made good progress in 2021, finalizing a handful of rules and proposing many others. We have much more to come on the SEC’s Agency ...

You may well be thinking, 'wait, I thought the nation’s High Court already took up this issue.' Well, you’d be partly correct

These amounts are effective beginning on January 15, 2022, and will apply to all penalties

"In our view, the Commission’s adoption of the Derivatives Rule (and simultaneous amendment of the ETF Rule) was a missed opportunity to address longstanding investor ...

I do worry that some parts of the market want to rely on a replacement rate for LIBOR that’s dependent on a market that may ...

Firms should confirm that the disclosures in their relationship summaries comply with the adopted instructions to Form CRS

For SEC commissioners, Dec. 15th produced their greatest productivity of the year, as a mostly divided Commission approved several new proposals, including revisions to money ...

"As you work on and advocate for policy to encourage divestment from carbon intensive activity, it is critical to consider the growing expansion of the ...

This is the SEC's 9th annual report around its use of Form PF data