Birdthistle, Crenshaw Headline IAA Compliance Conference
The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
March 24, 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 Questions Executive Stock Ownership Plans
SEC Chair Gary Gensler told a Chief Financial Officers forum that he’s asked SEC staff to come up with recommendations to “freshen up” the 20-year-old rule that allows corporate insiders to buy and sell company stock under formal “Rule 10b5-1 plans.”
June 09, 2021
“Bad information, or a lack of information, can lead to bad regulation, which can result in both unnecessary burdens and missed opportunities.” That’s the key takeaway from SEC Commissioner Caroline Crenshaw’s keynote address at the annual Conference on Financial Market Regulation on May 14.
May 19, 2021
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services.
April 16, 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 and introduced two new agenda items for 2021.
April 02, 2021
SEC Commissioner Crenshaw Encourages Change in Approach on Enforcement Penalties
SEC Commissioner Caroline Crenshaw says the agency’s enforcement policies allow companies to “profit from fraud” because they unnecessarily limit the Commission’s ability to craft appropriately tailored penalties that are more effective at deterring misconduct.”
March 16, 2021