SEC Operations

Our proposal regarding Exchange Act 10B and 9j-1 concerns the transparency and market integrity of security-based swaps, such as credit default swaps and total return ...

"We are concerned that the Order may be misconstrued regarding an adviser’s fiduciary duties with respect to voting proxies on behalf of its clients, as ...

"In promoting fairness and efficiency, it is important that access to our more than $100 trillion capital markets is inclusive. It means that brokers and ...

"The Pay-to-Play Rule, although well-intentioned, imposes unique, unquantifiable costs on individuals by impeding their ability to participate in the political process"

"Since 2016, the number of private funds managed by registered investment advisers has increased 40 percent, to 50,000"

"The proposal would put forward changes in two areas: the scope of what is cleared, and a set of reforms related to customer clearing"

"Regulation by enforcement fails to provide the nuanced and comprehensive guidance that allows market participants to tailor their practices, and instead requires regulated entities to ...

"Further, to the extent that crypto intermediaries may need to register with both the SEC and the CFTC, I would note we currently have dual ...

Plan addresses enforcement and exam initiatives, the modernization of disclosures, updating exiting Commission rules and more

"I was pleased to support these amendments because they will help whistleblowers when eligible to receive appropriate awards for reporting potential violations of the law ...