In testimony before the U.S. Senate Banking Committee, SEC Chair Gary Gensler weighed in on market structure, predictive data analytics, issuers and issuer disclosure, and funds and investment management.
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SEC leadership submitted testimony to the House Financial Services Committee on initiatives undertaken during the fiscal year.
SEC Co-Director of Enforcement Stephanie Avakian detailed the objectives of two enforcement initiatives, the Retail Strategy Task Force and the Cyber Unit.
The SEC charged a current and a former government employee and two hedge fund analysts with insider trading violations.
The SEC approved a proposed amendment by numerous exchanges to an Exchange Act plan. The amendment recognizes the addition of Investors Exchange LLC and allocates surveillance, investigation and enforcement responsibility under the plan.