SEC

Broker-dealers and investment advisers are different, and their compensation models are different. One investor may find the services and fees of a broker-dealer a ...

The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it difficult for ...

Our financial reporting and corporate disclosure system is essential to well-functioning markets, which are, in turn, essential to the ongoing provision of the goods and ...

A good day for a compliance examiner is helping a firm identify issues and working with that firm to correct those issues in an efficient, ...

The Commission’s enforcement program is not a television show with a season-end cliffhanger. So why are we all standing around talking about it as if ...

Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as ...

is clear that, during the past decade, managers of U.S. companies are communicating more information about how they run their companies, perhaps in an ...

Most investors assume that someone who is giving them advice has to put the investor’s interests first. This is, after all, what they are paying ...

The Division is working on several initiatives to help our markets grow and develop for the benefit of all market participants, including Main Street investors. ...

I believe that the Commission’s implementation of Title VII must allow for robust substituted compliance with broadly comparable foreign requirements. I also hope that ...