Margaret Ryan reiterated the commission’s focus on fraud but says she’s more concerned about the impact of cases than ...
“Our real project to focus on is to embed the idea of innovation around the agency to accommodate new products that as they come forward,” Securities and Exchange Commission Chair Paul Atkins said.
NEW YORK (Reuters) -The U.S. Securities and Exchange Commission told staff on Wednesday it plans to shake up its enforcement and exams divisions by having them report under new deputy directors, the ...
The U.S. Court of Appeals for the 9th Circuit will hear oral arguments regarding the Securities and Exchange Commission's (SEC) gag rule on Thursday. The rule flagrantly violates the First Amendment ...
The SEC has scheduled an open meeting for tomorrow where the members of the Commission will discuss and vote on certain regulatory items. The topics of discussion include: The Commission will consider ...
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The SEC Has Largely Gone Dark Amid the Shutdown. What That Means for Financial Advisors.
Be careful what you wish for. While investment advisors might be feeling a bit of a respite as their principal regulator, the Securities and Exchange Commission, has largely gone dark amid the ...
Commissioners voted to approve requirements that companies claw back incentive pay from executives if errors are identified in past financial statements. The Securities and Exchange Commission said ...
Smart rules for the new technology can unleash a wave of innovation like the one the 1996 Telecommunications Act fostered for the internet. Elon Musk and Vivek Ramaswamy should encourage Congress to ...
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