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The Division’s new name reflects the important role that its expert staff play in support of the SEC’s mission to protect investors, maintain fair, orderly, ...
The Division’s new name reflects the important role that its expert staff play in support of the SEC’s mission to protect investors, maintain fair, orderly, ...
The Commission announced earlier this month that it would take up a final ad rule at its Dec. 16th meeting. However, the day before it ...
The SEC gets a new chairman in 2021 and this person could revise this list substantially as the Commission’s chairman sets its agenda
The Enforcement division brought over 3,000 enforcement actions during Avakian's tenure
Jay Clayton
While CAT has been firmly established as an operational regulatory reporting system, 2021 will be another important year of milestones for CAT, with transaction reporting, ...
We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...
Hester Peirce
I am not convinced, however, that these protections are adequate given the potentially high stakes of any conditions or restrictions for the viability of a ...
Hester Peirce
In "a welcome improvement from the proposal, a valuation designee now will have 20 days to determine whether a matter is material and five days ...
Hester Peirce
"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...
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