SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection.
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The SEC's Small Business Capital Formation Advisory Committee is holding a meeting to discuss matters relating to rules and regulations under the federal securities laws that affect small and emerging businesses and their investors.
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The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on . Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission resources. Regrettably, such resources have been misapplied in prior years to pursue media headlines and run up numbers, and in turn, led to ...