SEC Operations

"The security-based swap market was at the center of the events that precipitated the 2008 financial crisis, and it remains a multi-trillion dollar market"

"I have asked staff to make a proposal for the Commission’s consideration around conflicts of interest and other governance principles at security-based swap clearing agencies"

The internal review has found no evidence that the Enforcement staff investigating and prosecuting this matter accessed the Adjudication memoranda or took any action based ...

The "kind of securities analysis that is central to making markets work—gathering pieces of information (none of which are both material and non-public) and putting ...

"Crypto may offer new ways for entrepreneurs to raise capital and for investors to trade, but we still need investor and market protection"

"If innovation is to thrive in a regulated space, regulation needs to leave room for experimentation, tinkering, and, yes, failure"

Most of the DOE’s new money would go to “examinations of investment advisers and broker-dealers”

'Fiduciary' or 'fiduciary duty' can be inserted in other places provided 'doing so would [not] be extraneous or unresponsive to the particular item'

"Another area of challenges that new technologies present is in relation to the use of digital engagement practices, including predictive data analytics, behavioral prompts, differential ...

"The idea is that parties to the transaction shouldn’t use overly optimistic language or over-promise future results in an effort to sell investors on the ...