SEC Operations

Importantly, Regulation Crowdfunding also provides a framework to govern how Crowdfunding intermediaries—such as a registered broker-dealer or a funding portal—can conduct securities offerings. Because these ...

I strongly object to the part of proposed Rule 147 that holds if an offering is conducted pursuant to an exemption from state law registration, ...

Because start-ups and small businesses are inherently risky investments, the CROWDFUND Act also establishes aggregate investment caps. I am pleased that the Commission today is ...

That recent SEC settlement with Blackstone over uneven legal fees features two parties (IA Watch, Oct. 7, 2015). The other was an unidentified law firm. ...

The other matter that the Committee will consider this afternoon are the fundamental changes in trading venue management and operation, including the growth of trading ...

But I would also ask you, as I did before the last meeting, never to lose sight of the fact that our equity markets need ...

What are the goals of the Committee? In the future, how will the Committee evaluate its success? Not, how will the Commission or the Staff ...

Several “first-of-their-kind” cases. Whistleblower payments totaling $38 million. Victories in all six federal trials launched. More than 800 enforcement actions taken and assessed penalties topping ...

The Senate will soon be able to bring the SEC Commission back up to its full five members. This after President Obama Oct. 20th announced ...

As a woman in law enforcement, I have witnessed both the triumphs and challenges of women in policing. We are all rightly impatient for ...