Commissioner Roisman Departing the SEC
Democrats will have a 3-1 majority on the SEC once Commissioner Elad Roisman's resignation takes effect at the end of January 2022.
December 21, 2021
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SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance
The SEC is proposing substantial amendments to its controversial 2020 proxy advisory firm rules. And it's seeking comment on its equally controversial guidance for investment advisers on proxy voting, asking whether that guidance should be rescinded, revised, or clarified. This comes after SEC Chair Gary Gensler’s directed staff to consider whether the rules warranted further action and Corp Fin announced it would not recommend enforcement action while the rules were under review.
November 22, 2021
SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers
SEC Commissioner Elad Roisman is urging the SEC to provide more clarity around advisers’ cybersecurity obligations, underscoring the need to set clear expectations and promote protection of client account data as firms' reliance on technology grows.
November 04, 2021
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 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
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 as well as for determining an appropriate award amount.
August 24, 2021
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.
June 29, 2021
Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures
SEC Commissioner Elad Roisman nevertheless offered suggestions recently on how the SEC could tailor new ESG disclosure requirements to balance the benefits with the associated costs.
June 15, 2021