SEC Operations

“The SEC after the Financial Crisis: Protecting Investors, Preserving Markets”

This legislation, proposed in 2017, would require the SEC to accompany any new rules with extensive costs and benefits analysis. It would also require the ...

This adjustment will apply to all penalties imposed after the effective date of this final rule for violations after November 2, 2015. For violations that ...

A split decision by the U.S. Court of Appeals for the 10th Circuit in Denver has given a rare victory to critics of the SEC’s ...

While it is now clear that U.S. GAAP and IFRS will continue to coexist in our public capital markets for the foreseeable future, it is ...

President-elect Donald Trump has announced that he plans to nominate Sullivan & Cromwell partner Jay Clayton to chair the SEC.   The announcement states that ...

We’ve shared predictions for the regulatory year ahead (see related story). Now eye the regulatory calendar for 2017. These items could change given that a ...

It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...

The core reforms implemented by the Commission since the crisis are indispensable for investors and our markets: comprehensive oversight of the massive swaps market; stronger ...

The SEC will be able to continue to tap the collective insight of a variety of financial services industry pros on equity market structure issues ...