SEC

his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces his readers to ...

Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my ...

Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged ...

Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...

xaminers have frequently observed deficiencies with respect to the custody rule, and in 2017, OCIE issued a Risk Alert identifying some of the typical deficiencies ...

Executive Pay Needs a Transparent Scorecard Commissioner Robert Jackson, Jr. April 10, 2019 Shareholders need to know when CEO comp is tied to disappointing results ...

Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference Chairman Jay Clayton Washington D.C. April 8, 2019 Thank you, Stephanie [Avakian], ...

Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets Commissioner Elad Roisman   The SEC Speaks Washington D.C. April 8, 2019 I. Introduction ...

SECret Garden: Remarks at SEC Speaks Commissioner Hester Peirce   SEC Speaks 2019 Washington D.C. April 8, 2019 I would like to begin with the ...

Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afternoon. I hope ...