President Trump Signs Holding Foreign Companies Accountable Act; SEC Issues Findings on Emerging Markets Fund Disclosures December 21, 2020 President Trump has signed into law the Holding Foreign Companies...
Agencies Announce More Leadership Changes December 10, 2020 CFTC Chairman Heath Tarbert CFTC Chairman Heath Tarbert has announced that he plans to leave the CFTC early in 2021, after...
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go October 27, 2020 A new report by SEC staff seeks to identify the...
Statistics Point to Record-Setting Year for SEC 15 Percent of Investment Advisers Examined October 15, 2020 SEC Chairman Jay Clayton provided an update on the SEC’s results for the...
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors September 24, 2020 SEC Chairman Jay Clayton Jay Clayton, Chairman of the SEC, recently gave a speech in which he...
SEC Fines Adviser $40 Million for Lack of Disclosure in Connection With Teachers’ Retirement Plans and Share Class Selection SEC Chair Clayton Reminds Public of Initiative to Protect Teachers’ Retirement...
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
DOL Confirms DC Plans May Offer Options that Include Private Equity Investments June 9, 2020 The Department of Labor recently issued an Information Letter, in response to a request,...
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