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We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
Identifying asset managers who proclaim ESG, but don’t live it, is not so easy. Investors are pouring assets into ESG-labelled investment products, and asset managers ...
Some cases needed to be re-tried by entirely new trial teams who were pulled from active investigations and litigations. As you might imagine, this required ...
The published rule begins June 14, 2021. It promises “an expedited review procedure for applications” that are “substantially identical to two other applications"
"we should examine whether appropriately-structured funds can facilitate greater Main Street investor access to private investments, particularly as a component of an investment portfolio that ...
"I am happy to see the Committee now turning back to focus more on some of these same topics: retail access to private market investments, ...
"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...
A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...
"we believe that an investment adviser that uses automated voting should consider disclosing" these two things
A “party cannot circumvent the SEC judicial review statute” by challenging its constitutionality before an enforcement action plays out
The hackers pierced the SEC EDGAR database and pocketed $270,000 in illegal insider trading profits before the day was over
The net result of these changes would be a more secure CAT, operating without sensitive PII
I would have preferred the bolder step of confronting the CAT’s real and serious liberty implications
The serves to remind that compliance staff have a role in the entire process of statutory disqualification
The working group recommended the SEC improve disclosure regarding, and consideration by fiduciaries and other market professionals of, the risks of investing in emerging markets, ...
It is long past time that we updated the structure of our IAC to reflect the lessons learned from other committees
Today’s procedures will enhance our ability to find high-quality committee members drawn from a broader pool of potential candidates than ever before
The new process marginalizes participation by the office best situated to handle the process—the Office of the Investor Advocate—and restricts functional membership categories in a ...
As the SEC staff considers responses to our proposals to amend the accredited investor definition and modernize and streamline our exempt offering framework, now is ...
Another potential way to get capital to entrepreneurs without easy access to capital could be a micro-offering exemption that would enable entrepreneurs to raise money ...
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