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.
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.
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021 The SEC’s Asset Management Advisory Committee’s (AMAC’s)...
SEC Staff to Increase Focus on Climate-Related Disclosures New ESG Committee to Guide IAA Policy Responses March 1, 2021 In yet another move elevating the SEC’s attention to climate...
SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers Commissioners Peirce and Roisman Disagree, Say Policy Has Worked Well February 17, 2021 SEC Acting Chair Allison Herren Lee...
SEC Acting Chair Boosts Enforcement Division Powers February 11, 2021 In another signal that the SEC will become more aggressive under the Biden Administration, Acting Chair Allison Herren Lee...
Acting Chairs: Lee at SEC, Behnam at CFTC January 29, 2021 Allison Herren Lee President Joe Biden has designated SEC Commissioner Allison Herren Lee as the agency’s Acting Chair....
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
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