Federal Agencies Release Spring 2021 Regulatory Agendas
Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021 Federal agencies recently released the spring 2021 update...
June 16, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions August 26, 2020 (updated October 9, 2020) In a first and welcome step to update access by a wider range...
August 26, 2020
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings June 3, 2020 The IAA is calling on the SEC to expand access to the private markets and make...
June 03, 2020
IAA to SEC: Expand Accredited Investor, QIB Definitions to Include Discretionary Clients of SEC-Registered Advisers March 23, 2020 The IAA recently submitted a comment letter to the SEC in...
March 23, 2020
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
