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United States Securities and Exchange Commission

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Open Recommendations (5 total)

Sexual Harassment: Actions Needed to Improve Prevention Training for Federal Civilian Employees

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1 Open Recommendations
Agency Affected Recommendation Status
United States Securities and Exchange Commission The Chair of the Securities and Exchange Commission should develop and implement a plan to evaluate the agency's required sexual harassment prevention training to identify needed improvements. The evaluation plan should include an assessment of training content and implementation to determine whether revisions are needed to better align with management practices to enhance the effectiveness of sexual harassment prevention training. (Recommendation 6)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Financial Technology: SEC Should Prepare a Workforce Plan, Document Oversight Controls, and Set Goals for Innovation Office

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1 Open Recommendations
Agency Affected Recommendation Status
United States Securities and Exchange Commission The Chair of SEC should ensure that the Director of the Strategic Hub for Innovation and Financial Technology develop performance goals and measures that are objective, measurable, and targeted. (Recommendation 3)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Financial Technology: SEC Should Prepare a Workforce Plan, Document Oversight Controls, and Set Goals for Innovation Office

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2 Open Recommendations
Agency Affected Recommendation Status
United States Securities and Exchange Commission The Chair of SEC should ensure that the Chief Human Capital Officer prepares a new workforce planning strategy that is aligned with the agency's 2022–2026 strategic and performance plans. (Recommendation 1)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
United States Securities and Exchange Commission The Chair of SEC should ensure that the Director of the Strategic Hub for Innovation and Financial Technology document its policies and procedures supporting its internal controls. (Recommendation 2)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Blockchain in Finance: Legislative and Regulatory Actions Are Needed to Ensure Comprehensive Oversight of Crypto Assets

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1 Open Recommendations
1 Priority
Agency Affected Recommendation Status
United States Securities and Exchange Commission
Priority Rec.
The Chairman of the Securities and Exchange Commission should jointly establish or adapt an existing formal coordination mechanism with CFPB, CFTC, FDIC, the Federal Reserve, NCUA, and OCC for collectively identifying risks posed by blockchain-related products and services and formulating a timely regulatory response. To facilitate these objectives, this mechanism could include formal planning documents that establish the frequency of meetings and processes for identifying risks and responding to them within agreed-upon time frames. (Recommendation 7)
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SEC neither agreed nor disagreed with the recommendation. SEC noted that it has already coordinated through venues including the Financial Stability Oversight Council, the President's Working Group, and some international organizations to identify risks related to crypto assets. However, the regulators' coordination efforts have not always addressed risks posed by crypto assets in a timely manner. We maintain that a formal coordination mechanism focused on collectively identifying risks posed by blockchain-related products and services and formulating timely regulatory responses could improve protections for consumers and investors, mitigate illicit finance and threats to financial stability, and promote responsible innovation and U.S. competitiveness.