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SEC: Regulators

A divided SEC has approved new rules giving Commissioners discretion to raise or lower awards to whistleblowers, ending one of the most contentious rulemaking efforts ...
Private equity funds have outpaced public investments in both the long- and short-runs, while venture capital funds have lapped public investments in the long-term but ...
SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...
The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...
A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...
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 ...
The SEC has formed a new task force that regulators hope will help keep them ahead of market crises. The team, officially called the Event ...
SEC staff are “re-examining” rules that keep Main Street investors out of private, closed-end funds, and considering rules that would allow some retirement funds to ...
In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
Jay Clayton
"Investment professionals and others who are providing retirement services to teachers (and similar groups) should examine their practices to ensure that they are appropriately discharging ...
Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...
Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...
Republican SEC Commissioners on July 22 approved the first-of-their-kind rules for proxy advisors. Among other things, it defines proxy advice as “solicitation” under Sec. 14(a) ...
"Today’s recommendations will help ensure that the interests of Main Street investors and the obligations of those who vote on their behalf will not only ...
"The guidance instructs investment advisers to consider any issuer response to proxy voting advice prior to exercising voting authority. But how long must investment advisers wait to ...
Hester Peirce
"Today’s supplemental guidance, while focused on investment advisers’ consideration of additional information generated by today’s amendments, underscores that investment advisers must use voting advice they ...
Elad Roisman
"The transparency afforded by these amendments should make it easier for such clients who are investment advisers to conduct due diligence and oversight of these ...
The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...
The Commission seldom succeeds in meeting its planned deadlines but here are a few from its updated list
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