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 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
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
Adding momentum to the SEC’s intensifying focus on climate change and ESG risks, SEC Acting Chair Allison Herren Lee is inviting public input from investors, registrants, and other market participants...
March 17, 2021
SEC Announces Enforcement Task Force on Climate and ESG
SEC Acting Chair Allison Herren Lee In the yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has...
March 05, 2021
Elevating Climate and ESG Issues, the SEC Names a New Senior Policy Advisor
In a signal that the SEC will prioritize both issues under the Biden Administration, the SEC has created a new senior policy advisor position on climate change and ESG. Allison...
February 10, 2021
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