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 Considers Potential Rulemaking on Complex Exchange-Traded Products
SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.
October 06, 2021
SEC’s Gensler Previews Upcoming ESG Proposals
In a recent speech, SEC Chair Gary Gensler outlined the proposals that he has asked the SEC staff to develop related to ESG disclosures. He also discussed Commissioner Allison Herren...
August 02, 2021
SEC’s Allison Lee to Public Company Boards: Ignore ESG at Your Own Peril
Declaring that environmental and social issues that were “once perhaps treated as more peripheral, are now central business considerations,” SEC Commissioner Allison Herren Lee called on boards of public companies...
June 29, 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
The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections. A universal proxy card includes the names of...
April 27, 2021
As Policy Debates Intensify, IAA Launches New ESG Committee
To ensure that the interests of investment advisers are protected and advanced in ongoing ESG and Climate policy debates, the IAA has established an ESG Committee to help guide our...
April 08, 2021