Commissioner Lee Departing the SEC
Allison Herren Lee, who has served as an SEC Commissioner since July 2019, announced that she will be stepping down from her post when her term expires in June.
March 18, 2022
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All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda – ESG, diversity and inclusion, and private investments – and...
April 02, 2021
SEC Staff to Increase Focus on Climate-Related Disclosures
In yet another move elevating the SEC’s attention to climate and ESG issues, Acting Chair Allison Herren Lee has directed staff in the SEC’s Division of Corporation Finance to “enhance...
March 01, 2021
SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers
SEC Acting Chair Allison Herren Lee In a move sure to unnerve registrants looking to settle an SEC enforcement action, SEC Acting Chair Allison Herren Lee has reversed a...
February 17, 2021
SEC Acting Chair Boosts Enforcement Division Powers
In another signal that the SEC will become more aggressive under the Biden Administration, Acting Chair Allison Herren Lee has restored authority to senior Division of Enforcement officers to initiate...
February 11, 2021
Acting Chairs: Lee at SEC, Behnam at CFTC
Allison Herren Lee President Joe Biden has designated SEC Commissioner Allison Herren Lee as the agency’s Acting Chair. Lee, who was first sworn in as a Commissioner in July...
January 29, 2021
The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment adviser CCOs need to keep abreast of...
April 17, 2020