SEC Operations

The financial crisis, however, brought into sharp focus the tremendous risks and costs associated with a protracted settlement cycle. The need to better manage risks ...

First, the Commission should consider revising Regulation ATS to make it applicable to alternative trading systems that trade Treasuries exclusively. In addition, the Commission should ...

This change to the SEC's FOIA regulations allows the Commission to collect fees that reflect its actual costs, add an appeals time frame that will ...

"We are in contact with NYSE and are closely monitoring the situation and trading in NYSE-listed stocks. While NYSE is working to resolve the situation, ...

Only five SEC enforcement actions in the last 11 years have cited CCOs for violations of the compliance rule, according to SEC Commissioner Luis Aguilar. ...

Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College

The debate carries on despite FINRA not actively pursuing the issue: Should the SRO take on examinations of investment advisers? The latest champion for the ...

Chair white spoke before the SEC Historical Society.

It may be six months before we’ll see a grade that the SEC’s Office of Inspector General gives OCIE. In the OIG’s latest report to ...

Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates