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...
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...
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 ...
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...
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...
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...
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