SEC: Rulemaking

Boston adviser learns value of good compliance officer

'Broken windows' gets industry workout

"We can bring, and already have brought, greenwashing cases using existing rules, so why is additional rulemaking necessary? Should our focus instead be on identifying ...

"The proposal would put forward changes in two areas: the scope of what is cleared, and a set of reforms related to customer clearing"

The Commission proposes to amend the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasury securities ...

'Only a few cases' where audits made investments more likely, UConn academic says

Gensler ally worries for 'anti-woke Chairman'

"I was pleased to support these amendments because they will help whistleblowers when eligible to receive appropriate awards for reporting potential violations of the law ...

"Although the changes to the rules are inconsequential because they are not logical solutions to any existing problems, they nonetheless further complicate the already byzantine ...

"Today’s amendments are not aimed at remediating any known or identified weaknesses with the current whistleblower rules"