SEC Operations

"The first thing they may encounter is the much-discussed concept of 'Accredited Investor.' But simply knowing what makes an investor 'accredited' does not solve a ...

"Since adoption of the Treasury Clearing Rule, market participants have raised a number of concerns, including with respect to the types of entities that can ...

"Of course, private markets are not without uncertainty. But the presence of risk is not grounds for the perpetuation of exclusion"

"We established the SEC’s AI Task Force in August to facilitate the development and deployment of AI across the Commission. This includes tools to conduct ...

This new SEC final rule, which takes effect March 18, aids compliance with the new Holding Foreign Insiders Accountable Act. This new law requires directors ...

"When implementing statutory directives, the Commission should seek to implement the plain text of the statute rather than taking expansive interpretive views that can impose ...

"The Commission staff is actively evaluating whether it will recommend that the Commission exercise this exemptive authority"

The manual speaks to ranking investigations, listing several factors to consider, including 'whether the matter involves misconduct by persons occupying positions of substantial authority or ...

"A modernized accredited investor definition, meanwhile, such as a knowledge-based exam, would recognize that financial sophistication can scarcely be measured by income or net worth ...

"By allowing public companies to have litigation alternatives so that we shield innovators from the frivolous and investors from the fraudulent"