SEC Operations

"Data analytics, surveillance tools, and emerging technologies require information-sharing between regulators so that we can anticipate regulatory frictions before they metastasize into market-level disruptions"

Continued pressure from SROs and other market participants has led the SEC to conduct a comprehensive review of the CAT

She poses a number of questions she hopes industry will answer via the comment process

"Over the years, the SEC’s rules have multiplied faster than the problems that they were intended—or purported—to solve .... it is time for the SEC ...

"I have been hearing calls to fix Form PF since I started as a commissioner"

"Over the past several years, the Commission has sought to impose regulatory obligations on private funds that exceed the obligations imposed on mutual funds through ...

"Commission staff continue to assess issues related to the treatment of failed trades and clearing agency outages as well as customer protection considerations—issues that market ...

The case 'has the potential for far-reaching monetary impacts for defendants in SEC enforcement actions' with billions of dollars at stake

In football, a Hail Mary pass refers to a desperate, last-second heave down the field in hopes—against all odds—of a miraculous catch for a score ...

"My deepest concerns, however, remain squarely in the realms of liberty and privacy. Regulators need to be able to oversee the markets, but appropriate limits ...