Home SEC Operations

SEC Operations

"Individual liability for disclosure failures related to AI as a security threat may therefore be of particular interest to you"
"This case is yet another illustration of the overbreadth of the pay-to-play rule and another reminder of the way the rule hampers legitimate political participation"
"The regulatory gap described, therefore, is more optical than substantive; closing it amounts to little more than grade-grubbing"
Project management, leadership and planning with business people in meeting for marketing strategy, consulting and teamwork. Collaboration, growth and future with employees in office for research
Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...
"The rule’s invocation of the term 'material' is a red herring"
"Rules of such broad effect should be set by the full Commission, not by staff answering only to the Chairman"
"I was surprised to learn when I came to the SEC that the Commission actually didn’t have its own best execution rule"
"I was pleased to support these amendments because they modernize a 22-year-old rule to better protect investors in a digital age"
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination