The SEC enforces the securities laws to protect the more than 65 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.
Washington D.C., Sept. 29, 2017— When fiscal year 2018 starts on Oct. 1, 2017, the Securities and Exchange Commission will be operating under a short-term continuing resolution, and thus will not have received a regular appropriation for FY 2018. Accordingly, the fees paid under Section 31 of the Securities Exchange Act will remain at their […]
Washington D.C., Jan. 11, 2018 — Robert J. Jackson Jr. and Hester M. Peirce were sworn into office as SEC Commissioners this morning by SEC Chairman Jay Clayton. Mr. Jackson and Ms. Peirce were nominated to the SEC by President Donald Trump, and their nominations were confirmed by the U.S. Senate on Dec. 21. Both […]
Washington D.C., Dec. 8, 2017 — In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange Commission today modified its approach to the pending requirement for registered investment companies to file Form N‑PORT electronically while the agency continues its previously announced review and uplift of […]