Father of 3 | 🏃 ⛰️🥾 | 33rd Chair @SECGov | Committed to investor protection, fair markets & capital formation. Disclaimer: ow.ly/5hB230oHjhr

Joined April 2021
In August we proposed rules @SECGov to improve clearing agency governance and to mitigate conflicts of interest. Comments on our proposal are due on October 7th! A little about the rule ⬇️
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If adopted, I think these rules would help to build more transparent and reliable clearinghouses. This in turn would help ensure our markets are more resilient, protecting investors and building trust in our markets.
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If adopted, the proposed rules would increase transparency of the decision-making process on clearing agency boards & committees & improve the alignment of incentives between clearing agency participants & owners.
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In particular, the proposed rule would reduce conflicts of interest, increase the role of independent directors in board decision-making processes, and help promote fair representation of owners and participants in the selection of directors.
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Only 1 more day to submit your comments. Submit your comments at sec.gov/comment
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Looking to grow your small business? You’ll need to raise money to do that, and our Office of the Advocate for Small Business Capital Formation @SECGov has tools and information to help you do just that. Before you embark on capital raising, remember this acronym: CAPITAL!
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It's the second day of #WorldInvestorWeek. If you haven’t already, be sure to check out our resources at investor.gov
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Today we announced charges against Kim Kardashian for promoting a crypto security offered by EthereumMax without disclosing the payment she received for the promotion. Kardashian agreed to settle the charges, pay $1.26 million, and cooperate with the investigation.
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I’ll be on @CNBC at 8am to discuss our most recent enforcement case and what investors should consider when they see celebrity endorsements of investment products. Tune in!
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Today @SECGov, we charged Kim Kardashian for unlawfully touting a crypto security. This case is a reminder that, when celebrities / influencers endorse investment opps, including crypto asset securities, it doesn’t mean those investment products are right for all investors.
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Today is the last day to submit comments on our @SECGov Draft FY22-26 Strategic Plan. sec.gov/news/press-release/2…
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We have gaps in Rule 10b5-1—a key insider trading rule. Insiders regularly have material info that the public doesn’t have. Thus, at its core, the rule needs to address how insiders sell & buy stock in a way that’s fair to the marketplace? Watch a previous Office Hours episode:
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My fireside chat at @MIT_SCC’s AI Policy Forum Summit starts in 15 minutes. sec.gov/news/upcoming-events…
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I’ll be joining @MIT_SCC for a fireside chat at the AI Policy Forum Summit on Wednesday, September 28th. Register and join us tomorrow at 12:15pm. For details & registration: sec.gov/news/upcoming-events…
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The last day to submit comments on our @SECGov Draft FY22-26 Strategic Plan is September 29th. Our draft plan establishes 3 main goals: 1️⃣ Protecting working families against fraud, manipulation, & misconduct;
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2⃣Developing & implementing a robust regulatory framework that keeps pace with evolving markets, business models, and technologies; &
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3⃣Supporting a skilled workforce that is diverse, equitable, and inclusive, and is fully equipped to advance agency objectives. Submit your comments today: sec.gov/news/press-release/2…
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In times of crisis & tragedy, it is especially important that public companies & execs provide full, fair, & truthful disclosures to the markets. The Boeing Company & its former CEO failed in this most basic obligation.
NEWS: Boeing to Pay $200 Million to Settle SEC charges that it Misled Investors about the 737 MAX.
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Happy #HispanicHeritageMonth! Did you know that we have information to help Spanish-speaking investors with their investing journey? Read more ⬇️ investor.gov/informacion-en-…
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I believe it’s essential that financial regulators continue to coordinate to ensure that we don’t have gaps or loopholes in our oversight of the capital markets.
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