SEC Operations

"A deeper commitment to disclosure rules that enable reasonable investors to obtain the material information they need in pursuit of economic returns will help us ...

The SEC’s director of enforcement has stepped down after barely seven months on the job, sending a fresh jolt through an agency still finding its ...

"Advancing new regulatory frameworks means choosing a different approach. It means crafting rules that are clear enough to guide markets, flexible enough to accommodate innovation, ...

"It is not the government’s role to impose its judgment as to what opportunities investors may pursue, particularly when these choices are often being made ...

"Our interpretation—grounded in existing law and informed by extensive public input—establishes four asset categories that are not deemed securities: digital commodities, digital collectibles, digital tools, and payment ...

PFs for retail investors: 'It is about the idea that exposure to the full dynamism of our markets should not be reserved for those who ...

Here are 8 tips to can help make your experience with the SEC 'most helpful'

"Satisfying the quorum requirement has long been a challenge for funds, particularly when many retail investors hold their fund shares through intermediaries such as investment ...

"The Committee is taking up the important issue of fund proxy voting. A discussion on and potential solutions regarding funds’ difficulty in obtaining a quorum ...

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...