SEC Operations

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

There aren't many details at this time but the SEC has announced a meeting next Wednesday to take up two rule proposals that would affect ...

These comments came at the start of the very first SEC Equity Market Structure Advisory Committee meeting in 2015.

We need the benefit of all of your views to fully achieve our objective of developing a better understanding of the equity markets and ...

Reg NMS in particular has come to stand as the Commission’s poster child for unintended consequences and the need for the Commission to institute retrospective ...

Today’s agenda begins with an examination into Regulation NMS. Since the implementation of the rules that comprise Regulation NMS, there has been vigorous and ongoing ...

"SEC litigators have won 22 straight trials in all proceedings. While this streak will undoubtedly end, this is a remarkable achievement. In federal district court, ...

Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer.   That’s the day the SEC and FINRA will partner ...

The conclusions read like something you would find in an SEC deficiency letter—a program lacking specific goals and measures, documented procedures for certain processes and ...

You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...