SEC Operations

In light of this history, what is the best way to supplement the definition of “accredited investor”? The staff of the Division of Corporation ...

It is thus critically important that advisers disclose all material information, including conflicts of interest, to investors at the time their capital is committed. While ...

Importantly, in implementing our statutory crowdfunding mandate, the SEC’s rules seek to maintain strong investor protections, while also streamlining capital formation for smaller issuers. These ...

Disclosure, and our concept release, are both still stuck in the paper world. Sure, you can view the reporting forms on the Internet, and ...

It seems everyone has someone looking over his shoulder these days making sure information security and cybersecurity programs are locked down – including the SEC. ...

Today’s robust agenda demonstrates the importance of gathering a diverse set of market participants to address complex, potentially very significant market structure issues. As I ...

At a prior meeting, I challenged the Committee to take ownership of the issues and generate forward momentum for an equity market structure review. You ...

Turning to the work of the Equity Market Structure Advisory Committee, I am pleased to see that we are being presented with two recommendations today. ...

The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...

Strong compliance must permeate your organization at every level. The right tone at the top and a strong CCO are crucial, but not sufficient. ...