IAA Today Archive

Commissioner Roisman Departing the SEC

We’re sorry – you must be a member to view this content. Please log in.

December 21, 2021

Keywords: Elad Roisman, SEC Appointments

Categories & Topics: Industry Trends

SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance

We’re sorry – you must be a member to view this content. Please log in.

November 22, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Perice, Proxy

Categories & Topics: Business Ops/HR, Proxy Voting

SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers

We’re sorry – you must be a member to view this content. Please log in.

November 04, 2021

Keywords:  Privacy, Cybersecurity, Elad Roisman

Categories & Topics: Compliance, Cybersecurity/Privacy

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

Keywords:  FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

Categories & Topics: Compliance, Enforcement, Industry Trends, Industry-Level

SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting

In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.

October 05, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

SEC Issues Interim Updates to Whistleblower Procedures

The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address the criteria for making an award where another agency’s whistleblower program may apply to an action...

August 24, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Peirce, SEC Enforcement

Categories & Topics: Compliance, Whistleblower

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency

SEC Chair Gary Gensler discussed several of the SEC’s regulatory initiatives in a recent speech, focusing on climate- and ESG-related disclosures, market structure, and transparency. Climate- and ESG-Related Disclosures: Gensler...

June 29, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Regulatory Agendas

Categories & Topics: ESG, Industry Trends, Industry-Level

Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures

  SEC Commissioner Elad Roisman Reiterating his objections to requiring additional disclosure by corporate issuers related to ESG issues, SEC Commissioner Elad Roisman nevertheless offered suggestions recently on how the...

June 15, 2021

Keywords: Elad Roisman, ESG

Categories & Topics: ESG, Industry-Level