SEC Operations

"In a digital age, it is important for filers to have easy, online methods to submit information to the Commission"

Jaime Lizarraga and Mark Uyeda have been confirmed by the U.S. which will bring the SEC to its full complement of five commissioners

"The Commission, however, must be cautious about using the settlement process to obtain voluntary compliance with requirements that it lacks statutory authority to impose"

"We can avoid creating regulatory rip currents by recalibrating our agenda to focus on issues core to the protection of investors and operation of our ...

Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...

"The growing prominence of information providers in the industry adds import to our consideration of whether and how the framework for registering and regulating investment ...

"The continuing refusal of the SEC to approve a spot bitcoin ETP is puzzling to many agency observers"

"Please consider whether our proposed climate disclosure mandate would change fundamentally this agency’s role in the economy, and whether such a change would benefit investors. ...

"Victims of fraud, too often, are older adults: Some have retired, others have neared it, but all have spent decades preparing their nest eggs. Today, ...