SEC

he shoddy state of American insider-trading law affects everyone.Prosecutors and regulators are stuck enforcing laws that are ill-suited to 21st-century misconduct. Lawyers struggle to tell ...

I believe that the Commission needs to articulate clear rules and provide its own guidance rather than relying on subsequent staff no-action letters or other ...

I think as you can see the Commission has at its disposal a wide variety of remedies and relief. And in the Division of ...

As has been correctly noted, proposed Regulation Best Interest would require disclosure and at least mitigation of any material financial conflict of interest a broker-dealer ...

Being indifferent about cybersecurity is simply not enough.[28] Boards have a fiduciary duty to shareholders. Shareholders and policymakers expect boards of directors to oversee and ...

National Hispanic Heritage Month is an opportunity to recognize the contributions of Hispanic and Latino Americans to the United States. Latinos own 350,000 businesses in ...

Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, for example, Senator ...

Requiring a company to instead cater to other interests therefore risks compromising not only its shareholders’ interests, but the public interest as well. It complicates ...

This has been a strong year for the Division of Enforcement. But you do not need to take my word for it. ...

My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...