SEC Operations

The Division of Enforcement is also making great use of new tools. In insider trading investigations, for example, the Division uses sophisticated software to ...

If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...

Dodd-Frank gave the SEC the power to take more of its enforcement cases to its administrative proceedings setting rather than the courts. A new study ...

As an integral part of the implementation of each one of these new tools, I have drawn on the expertise of the staff across the ...

Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in ...

Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue. Rather, the key is ...

Today, I am very pleased to say that I am not the first at something. I am, in fact, the third woman to serve ...

A new report from the SEC’s Inspector General reveals that OCIE expects to receive a consultant’s report by September on ideas for bulking up its ...

The SEC certainly hasn’t been shy about emphasizing its focus on the cybersecurity protections being put in place by investment advisers and the need for ...

It may be hard to fathom politicians becoming frustrated with political answers but such was the scene at the March 15th hearing on SEC commissioner ...