Entity DossierGovernment Body

SEC

Federal agency SEC

crypto

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Tracked donations to candidate

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Regulatory Capture Assessment

Regulatory capture occurs when a regulatory agency advances the interests of the industry it is meant to oversee. The indicators below track evidence of capture for this agency. According to the academic literature (Stigler 1971, Carpenter & Moss 2013), captured agencies exhibit declining enforcement, revolving door personnel pipelines, and rule-making that favors incumbents over public interest.

Industry connections

Enforcement actions

Revolving door

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Relationships

Type	Connected To	Details	Source
proposed_rule	Definition of Exchange	SEC proposed rule: Definition of Exchange	Source
issued_rule	Reporting Requirements for All Filers and Large Hedge Fund Advisers	SEC issued rule: Reporting Requirements for All Filers and Large Hedge Fund Advisers	Source
issued_rule	Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities	SEC issued rule: Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities	Source
proposed_rule	Safeguarding Advisory Client Assets	SEC proposed rule: Safeguarding Advisory Client Assets	Source
issued_rule	Exchange-Traded Funds	SEC issued rule: Exchange-Traded Funds	Source
issued_rule	Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer in Connection with Certain Liquidity Providers	SEC issued rule: Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer in Connection with Certain Liquidity Providers	Source
issued_rule	Reporting of Securities Loans	SEC issued rule: Reporting of Securities Loans	Source
proposed_rule	Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, et al.	SEC proposed rule: Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, et al.	Source
proposed_rule	Regulation Best Execution	SEC proposed rule: Regulation Best Execution	Source
proposed_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	SEC proposed rule: Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Source
proposed_rule	Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities	SEC proposed rule: Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities	Source
issued_rule	Accredited Investor Definition	SEC issued rule: Accredited Investor Definition	Source
proposed_rule	Regulation Systems Compliance and Integrity	SEC proposed rule: Regulation Systems Compliance and Integrity	Source
proposed_rule	Regulation National Market System: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders	SEC proposed rule: Regulation National Market System: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders	Source
proposed_rule	Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure	SEC proposed rule: Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure	Source
issued_rule	Staff Accounting Bulletin No. 121	SEC issued rule: Staff Accounting Bulletin No. 121	Source
issued_rule	Custody of Digital Asset Securities by Special Purpose Broker-Dealers	SEC issued rule: Custody of Digital Asset Securities by Special Purpose Broker-Dealers	Source
proposed_rule	Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule	SEC proposed rule: Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule	Source
issued_rule	Disclosure of Order Execution Information	SEC issued rule: Disclosure of Order Execution Information	Source