In an address before the Council of Institutional Investors, SEC Commissioner Mark T. Uyeda underscored the importance of adhering to statutory limits in the exercise of administrative power and enforcement, and called for a regulatory framework that provides clear, predictable guidelines for market participants.
News & Insights
80 News Results
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC directed FINRA and the equity exchanges to submit a new national market system plan to replace the three current national market system plans.
The Congressional Research Service reviewed federal authority over financial institution insolvency and the response to the failures of Silicon Valley Bank, Signature Bank and First Republic Bank.
GAO urged the FDIC, the OCC and the SEC to implement fully previous recommendations on blockchain technology-related risks and take joint action to coordinate related information and processes.