The asset management industry is a key player in helping investors to meet their retirement and other financial goals
How can we enlist the help of people outside of government in regulating the activities we are responsible for overseeing?
OCIE "searches for signs of fraudulent schemes perpetrated through brokerage and advisory accounts"
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
Chairman looks back and ahead at his regulatory agenda
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
"You should take it upon yourselves to improve communications with your investors"
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
SEC Commissioner Roisman discusses oversight of the U.S. Treasury market
Shared concern for global derivatives markets serves not only to help those markets function well, but to deepen cross-border relationships.