SEC Operations

We also must address the impact that market changes are having on investors. I urge Commission staff to keep a careful eye on highly ...

New life has been breathed into Ray Lucia’s fight against SEC charges that the adviser’s Buckets of Money® strategy doled out false and misleading advertising. ...

The amendments to Regulation D may lead to states developing regional offering exemptions so companies could raise capital from investors in a specific region, rather ...

The list of your valuable recommendations and discussion topics goes on, and it seems Congress was so impressed with your efforts that in December it ...

If there are inefficiencies with blue sky compliance regimes, how can we adjust the current regime? For example, is there a means by which the ...

Today, I directed the staff to reconsider whether the 2014 guidance on the conflict minerals rule is still appropriate and whether any additional relief is ...

This chart was published in a GAO report from late 2016. It reveals the organizational chart at the Securities and Exchange Commission.

“The SEC after the Financial Crisis: Protecting Investors, Preserving Markets”

This legislation, proposed in 2017, would require the SEC to accompany any new rules with extensive costs and benefits analysis. It would also require the ...

This adjustment will apply to all penalties imposed after the effective date of this final rule for violations after November 2, 2015. For violations that ...