SEC: Rulemaking

I have many objections to the pay ratio disclosure, as set forth in my remarks at the Commission’s open meeting and my comments above. ...

The Securities and Exchange Commission is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F ...

In a system that sounds reminiscent to what investment advisers face, a new regime has been established by the SEC for requiring security-based swap dealers ...

We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section ...

The Commission will today consider three rulemakings, including recommendations from the staff to finalize two mandates of the Dodd-Frank Act – the dealer registration requirements ...

Today’s pay ratio adopting release incorporates many discretionary decisions made by the Commission consistent with the Dodd-Frank statutory mandate. These decisions were designed to facilitate ...

I am also concerned that today’s rule improperly compels corporate speech. We know that the intended purpose of Section 953(b) was to name and shame ...

The push for pay ratio disclosure should come as no surprise to anyone familiar with the use of Saul Alinsky and tactics by Big Labor ...

Pay ratio disclosure should provide a valuable piece of information to investors and others in the marketplace. It will allow investors to evaluate how this ...

They are vital steps for putting in place a registration framework for SBS dealers and major participants. I note, however, that the registration rules will ...