SEC Operations

Government enforcement is crucial to the functioning of our securities markets, and I’m proud to work alongside the best securities enforcement team in the world. ...

There are other downsides to relying upon individual arbitration as the sole means of recourse. For example, disputes that go to arbitration rather than the ...

In my experience, the companies that delivered long-term superior returns to their shareholders had a common trait — the ability to adapt. The Commission has ...

What troubles me, is that often-times complex products fall into the hands of people who don’t fully understand them. For certain of these products, the ...

This month, we have had the opportunity to celebrate and pay tribute to the significant contributions of African Americans to our Nation. This year’s ...

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...

Mark your calendar for Thursday, April 12th. That’s the day that OCIE and the Division of Investment Management set for their first compliance outreach program ...

We face a growing gap in this country between our markets and Main Street investors. The middle class watches our markets rise and increasingly—and correctly—senses ...

Companies, their managers, their boards, as well as their regulators, all need to do a better job in recognizing and addressing the significant risks that ...

While a settlement arising from this self-reporting initiative may allow an adviser to skirt paying penalties, the firm could expect to disgorge what it shouldn’t ...