SEC Operations

The SEC has made no secret of its intent to focus on “Main Street investors.” The agency’s new Strategic Plan for 2018-2022 is the latest ...

he shoddy state of American insider-trading law affects everyone.Prosecutors and regulators are stuck enforcing laws that are ill-suited to 21st-century misconduct. Lawyers struggle to tell ...

I believe that the Commission needs to articulate clear rules and provide its own guidance rather than relying on subsequent staff no-action letters or other ...

Being indifferent about cybersecurity is simply not enough.[28] Boards have a fiduciary duty to shareholders. Shareholders and policymakers expect boards of directors to oversee and ...

National Hispanic Heritage Month is an opportunity to recognize the contributions of Hispanic and Latino Americans to the United States. Latinos own 350,000 businesses in ...

Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, for example, Senator ...

Requiring a company to instead cater to other interests therefore risks compromising not only its shareholders’ interests, but the public interest as well. It complicates ...

It wasn’t the first time that an SEC chairman has reminded the world that only commissioners can make rules, not SEC staffers, but Jay Clayton’s ...

This has been a strong year for the Division of Enforcement. But you do not need to take my word for it. ...

My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...