SEC Operations

"One specific AMAC recommendation that deserves attention is that when fiduciaries select asset managers, their selection criteria should not exclude managers simply based on a ...

"The panel discussions regarding labor-related performance data and ESG fund disclosures touch on one part of the federal securities laws: the disclosure of information and ...

"I also appreciate the IAC’s attention to other critical investor protection issues, such as funds’ ESG disclosures and improved financial accounting and reporting standards"

"We can bring, and already have brought, greenwashing cases using existing rules, so why is additional rulemaking necessary? Should our focus instead be on identifying ...

Our proposal regarding Exchange Act 10B and 9j-1 concerns the transparency and market integrity of security-based swaps, such as credit default swaps and total return ...

"We are concerned that the Order may be misconstrued regarding an adviser’s fiduciary duties with respect to voting proxies on behalf of its clients, as ...

"In promoting fairness and efficiency, it is important that access to our more than $100 trillion capital markets is inclusive. It means that brokers and ...

"The Pay-to-Play Rule, although well-intentioned, imposes unique, unquantifiable costs on individuals by impeding their ability to participate in the political process"

"Since 2016, the number of private funds managed by registered investment advisers has increased 40 percent, to 50,000"

"The proposal would put forward changes in two areas: the scope of what is cleared, and a set of reforms related to customer clearing"