SEC Operations

And so what's really left in those major categories is to finish Title VII, the over-the-counter securities-based swap regulations. We've proposed all of those rules. ...

The Commission has continued to be quite busy, so let me give you my customary brief update since your last meeting on October 15th.

In addition to Professor Harris, a number of other academics and market participants have identified the need for greater transparency in the fixed income markets. ...

In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...

As I prepare to leave the Commission at the end of this month, I wanted to share some observations about how the Commission has evolved ...

During my tenure, I have been repeatedly concerned about the binary nature of granting or denying waivers. Today’s action represents a different and more outcome-focused ...

In a case that has rattled Wall Street’s nerves, the SEC Dec. 16th gave Third Avenue Management ($9.9B in AUM) in New York permission to ...

When the trail of an alleged pump-and-dump scheme appeared to lead to a bank in the Cayman Islands and a trading firm in Panama, the ...

Shamoil Shipchandler, recently named regional director of the Securities and Exchange Commission based in Texas, has an interesting philosophy when it comes to how GPs ...

My advice to new Commissioners not familiar with the inner workings of the SEC is to make sure your counsels have that familiarity. Each Commissioner ...