SEC Operations

Bowing to judicial reality in the wake of the Newman decision (IA Watch, Oct. 15, 2015), the SEC two days before Thanksgiving dismissed its insider ...

The SEC grounded the launch of its Tick Size Pilot for five months following industry complaints about a lack of guidance from regulators and exchanges ...

While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory ...

Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiring third-party compliance ...

We strongly object to the SEC’s reported recommendation to set up a fair fund, for a number of reasons. Fair funds can play an important ...

Self-reporting also is a valuable tool for parties who want to maximize the benefits available for cooperation. As the cases I just mentioned make ...

A year after a former OCIE examiner resolved his case of violating SEC ethics rules regarding securities holdings (IA Watch, April 28, 2014), another case ...

Seven months after taking over as acting director of the SEC’s Office of Compliance Inspections and Examinations, Marc Wyatt was named the formal OCIE director ...

All across the capital markets, technology and innovation are challenging the old ways of transacting business and old ways of thinking about regulation. There ...

There has also been a full reevaluation of the investor protections provided in the proposal, and those have been tightened where necessary. The recommendation, for ...