'If we move away from a materiality that is focused on financial returns, we risk a regime that is subject to the whims of the administration in power – regardless of its political affiliation.' Commissioner Uyeda sec.gov/news/speech/uy…

I don't see why we need to tell investment advisers, who are fiduciaries, how to choose and monitor their service providers, but that is what a proposal we released today would do: sec.gov/news/statement…

We need to make fund disclosure documents more useful for investors. Today, we adopted a rule to improve shareholder reports, a step in the right direction: sec.gov/news/statement…

A clawbacks rule that afforded greater discretion to exchanges and boards would have been less costly and more effective at achieving the statutory purpose than the rule that was adopted today: sec.gov/news/statement…

Commissioner Uyeda explains why people 'wield[ing] the authority of the federal government' should care about due process, 'an important protection against regulatory overreach': sec.gov/news/speech/uy…

I'll be in Alabama and Mississippi from November 2-4. Please reach out to [email protected] with Alabama or Mississippi in the subject line if you want to meet with me to talk about the other SEC--i.e., not the Southeastern Conference.

This week, I’ve provided thoughts on WORM, fish, and a most important ecosystem:
WORM: bit.ly/3ECmnGI
FISH: bit.ly/3enXPqt
ECOSYSTEM: sec.gov/news/statement…

Everyone who has commented recently on an SEC rule should take a look at this statement and double-check that your comment is in the relevant public comment file: sec.gov/news/press-rel…

A new staff study on mutual fund performance benchmarks was added to the comment file for the comment file for the tailored shareholder reports rulemaking proposal: sec.gov/news/press-rel…

Today we proposed changes related to the Treasury market. I have some questions about the consequences of and alternatives to the proposed approach: sec.gov/news/statement… and sec.gov/files/34-95763…

I plan to be in South Carolina on October 5-6. If you want to meet with me, please email [email protected] with South Carolina in the subject line and the non-enforcement-action topic you want to discuss in the body of the email.

SEC Commissioner Mark Uyeda is right that 'regulation through enforcement does not yield the outcomes achievable through a process that involves public comment.' sec.gov/news/speech/uy… Scattershot enforcement actions aren't the best way to protect investors.

Interested in having the SEC speak to your audience❔

Our Chicago office can present on many topics such as the “Cryptocurrency and Digital Investments” in-person event this past April. We have presentations for seniors, students, teachers and more!

Email us at [email protected]

Congratulations to our two newest regional office directors, Monique Winkler (San Francisco) and Nick Grippo (Philadelphia): sec.gov/news/press-rel… and sec.gov/news/press-rel…

Join us today (August 10th), from 4-5pm ET for a Virtual Info Session about the SEC's Chair's Attorney Honors Program.

Event link here: lnkd.in/eErS9yED

More about these opportunities here:
Law Clerk: lnkd.in/enJQdwgt
Attorney- Advisor: lnkd.in/easCX5Kh

Clearing agency governance is important and difficult to get right, but the SEC's proposed stakeholder approach could cause clearing agency boards to lose their focus: sec.gov/news/statement… and sec.gov/rules/proposed…

Job Alert!

The Office of Municipal Securities seeks to fill two Attorney-Adviser positions in Washington, DC, Atlanta, GA, Denver, CO, or Los Angeles, CA.

For additional information or to apply, click here: go.usa.gov/xSApS

#SECGovJobs

I'll be in Houston on August 22-23. If anyone wants to meet to discuss SEC issues (other than ongoing enforcement actions), please email [email protected] with Houston in the subject line.

Join us tomorrow (Aug 2nd) from 3-4pm ET, for a virtual info session about the SEC's Chair’s Attorney Honors Program. You won't want to miss this opportunity to learn about this highly sought after federal entry-level attorney hiring program!
Event link: lnkd.in/eErS9yED