SEC Operations

"I’ve also asked staff to make additional recommendations for the Commission’s consideration with respect to broker-dealers, Regulation SCI, and intermediaries’ requirements regarding customer notices (Regulation ...

"I am very much looking forward to hearing from our two expert panels, the first of which will address the often knotty questions of ethics ...

"In my first six weeks at the agency, the Commission published several Advisers Act rule proposals that directly impact investment advisers and take steps toward ...

"Proposed Rule 13f-2 would make aggregate data about large short positions available to the public for individual equity securities"

"Today’s proposal would establish a framework for doing this on an aggregate basis for institutional investment managers with gross short positions in certain equity securities ...

"As the collapse of the family office Archegos Capital Management last March showed, security-based swaps continue to have an important impact on our markets. Total ...

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C

"Lurking behind the legal analysis, however, is an important question:  Is the approach we are taking with crypto lending the best way to protect crypto ...

"The Commission invents investor harm and unduly paints the selling shareholder as a victim"

"Absent some pressing need to remedy inadvertent oversights, address unanticipated consequences, or deal with significant new factual developments, revisiting recently adopted rules subverts the regulatory ...