The SEC has several ongoing dialogues with key regulatory counterparts. The dialogues are intended to facilitate identification and discussion of common issues of regulatory concern, enhance enforcement cooperation, and in some cases, expand on existing training and technical assistance efforts.

Securities and Exchange Board of India Dialogue

In January 2008, the SEC and the Securities and Exchange Board of India (SEBI) announced a dialogue with three primary objectives:

1. to identify and discuss regulatory issues of common concern;
    
2. to continue and expand upon the existing program of capacity-building and technical cooperation between the SEC and the SEBI; and
    
3. to improve cooperation and the exchange of information in cross-border securities enforcement matters.

Joint United States–European Union Financial Regulatory Forum

The Joint United States – European Union Financial Regulatory Forum (Forum) was launched in 2002 and is led by the US Department of the Treasury and the European Commission. Representatives from the SEC, Commodity Futures Trading Commission, and the Federal Reserve Board also participate. In addition, relevant financial regulatory and supervisory bodies from the European Union participate, including, where appropriate and in relation to a specific issue, supervisors from EU Member States. The objectives of the Forum are to improve transparency, reduce uncertainty, identify potential cross-border implementation issues, work towards avoiding regulatory arbitrage and towards compatibility, as appropriate, of each other’s standards, and, when relevant, promote domestic implementation consistent with international standards.

United States – United Kingdom Financial Regulatory Working Group

The United States – United Kingdom Financial Regulatory Working Group (Working Group) was launched in 2018 and is led by the US Department of the Treasury and HM Treasury. Representatives from the SEC, Commodity Futures Trading Commission, Federal Deposit Insurance Corporation, Federal Reserve Board, and the Office of Comptroller of the Currency also participate, along with relevant UK financial regulatory authorities. The Working Group meets twice a year and is used as a platform for furthering financial regulatory cooperation, with the general operational objective to improve transparency, reduce uncertainty, identify potential cross-border implementation issues, work towards avoiding regulatory arbitrage and towards compatibility, as appropriate, of each other’s national laws and regulations.

Other topics in International Regulatory Policy:

• Advancing the SECs Mission through International Organization