The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to check the background of anyone selling or offering them an investment. No matter how good an investment may sound, verify that the person is currently registered or licensed and check his or her background by using the free and simple search tool on […]
Category Archives: SEC
Investor Alert: Self-Directed IRAs and the Risk of Fraud
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs). Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs. While a broader set of investment options may have appeal, investors should be […]
Testimony before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations
Washington D.C. Testimony before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations Chairman Lankford, Ranking Member Coons and Senators of the Subcommittee, thank you for the opportunity to testify today on the President’s fiscal year (FY) 2019 budget request for the U.S. Securities and Exchange Commission (SEC).[1] It is an […]
Oversight of the SEC’s Division of Enforcement
Washington D.C. Before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment Chairman Huizenga, Ranking Member Maloney, and Members of the Subcommittee: Thank you for inviting us to testify today on behalf of the Division of Enforcement (“Enforcement” or the “Division”) of the U.S. Securities and […]
Testimony before the Financial Services and General Government Subcommittee of the House Committee on Appropriations
Washington D.C. Before the Financial Services and General Government Subcommittee of the House Committee on Appropriations United States House of Representatives Chairman Graves, Ranking Member Quigley and members of the Subcommittee, thank you for the opportunity to testify today on the President’s fiscal year (FY) 2019 budget request for the U.S. Securities and Exchange Commission […]
Testimony on “Oversight of the SEC’s Division of Corporation Finance”
Washington D.C. Before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment Chairman Huizenga, Ranking Member Maloney, and Members of the Subcommittee: Thank you for inviting me to testify today on behalf of the U.S. Securities and Exchange Commission (SEC or Commission) about the Division of Corporation […]
Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC
Washington D.C. Feb. 6, 2018 Before the Committee on Banking, Housing, and Urban Affairs United States Senate Chairman Crapo, Ranking Member Brown and distinguished senators of the Committee, thank you for the opportunity to testify before you today.[1] I am pleased that the Committee is holding this hearing to bring greater focus to the important […]
Testimony on Examining the SEC’s Agenda, Operation, and Budget
Washington D.C. Oct. 4, 2017 Before the Committee on Financial Services United States House of Representatives Chairman Hensarling, Ranking Member Waters, distinguished members of the Committee, thank you for the opportunity to testify before you today about the work of the U.S. Securities and Exchange Commission (SEC or Commission or agency).[1] It is an honor […]
Testimony on the Fiscal Year 2018 Budget Request
Washington D.C. Chairwoman Capito, Ranking Member Coons, and Members of the Committee: Thank you for inviting me to testify today, my first appearance before this subcommittee, in support of the President’s fiscal year 2018 budget request for the Securities and Exchange Commission (SEC). Before I begin, I would like to congratulate you, Madam Chairwoman, on […]
Statement on “Best Places to Work Rankings”
Washington D.C. Before the Subcommittee on Government OperationsCommittee on Oversight and Government ReformUnited States House of Representatives Chairman Meadows, Ranking Member Connolly, and Members of the Subcommittee, thank you for inviting me to speak today regarding the U.S. Securities and Exchange Commission’s (SEC) Federal Employee Viewpoint Survey (FEVS) results and the improved rankings of Best […]