Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities. They include...
June 16, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and ESG-related disclosure and her investor protection concerns relating to implementation of Regulation Best Interest (Reg BI),...
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions
Updated October 9, 2020 In a first and welcome step to update access by a wider range of investors to the exempt markets, the SEC has, by a 3-2 vote,...
August 26, 2020
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
The IAA is calling on the SEC to expand access to the private markets and make it easier for advisers to communicate with potential investors – in a new comment...
June 03, 2020
The IAA recently submitted a comment letter to the SEC in response to its proposed amendments to the definitions of “accredited investor” in Rule 501 of Regulation D and “qualified...
March 23, 2020
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