SEC Operations

Gensler has faced criticism in the past for his ambitious SEC regulatory agenda from Peirce and former Commissioner and fellow Republican Elad Roisman

This is the latest version of the SEC Division of Enforcement's manual

"I am aware of no legal basis for the proposition that by responding to a voluntary request for information, a firm takes on itself a ...

The securities laws are 'complicated, there’s so much in them, that the no-action letters are a way to make the rules work in the real ...

"In a digital age, it is important for filers to have easy, online methods to submit information to the Commission"

Jaime Lizarraga and Mark Uyeda have been confirmed by the U.S. which will bring the SEC to its full complement of five commissioners

"The Commission, however, must be cautious about using the settlement process to obtain voluntary compliance with requirements that it lacks statutory authority to impose"

"We can avoid creating regulatory rip currents by recalibrating our agenda to focus on issues core to the protection of investors and operation of our ...

Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...