SEC

Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achieve a ...

modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of ...

A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluate securities that ...

Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest and best ...

Indexes have influence over stock prices that even the largest investors can only envy. Given the conflicts of interest the index providers face and the ...

There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned that ...

Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, far ...

The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of mission, the “Reg Flex” ...

Barriers to information may come in various forms, including data protection, privacy, confidentiality, bank secrecy, state secrecy, or national security laws. These laws, many of ...

Outdated rules can impose significant costs on market participants. These costs are why I oppose the mandating of specific technologies in our rules. To ...