IAA Today Archive

Commissioner Roisman Departing the SEC

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December 21, 2021

Keywords: Elad Roisman, SEC Appointments

Categories & Topics: Industry Trends

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’s Gensler Discusses ESG Disclosures, Market Structure, Transparency

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency Roisman Raises Concerns about SEC’s Role in ESG Disclosures June 29, 2021   SEC Chair Gary Gensler discussed several of the SEC’s...

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

Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures June 15, 2021   SEC Commissioner Elad Roisman Reiterating his objections to requiring additional disclosure by corporate issuers related to...

June 15, 2021

Keywords: Elad Roisman, ESG

Categories & Topics: ESG, Industry-Level

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds

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)...

April 02, 2021

Keywords: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry Trends, Industry-Level, Private Funds

SEC Announces Enforcement Task Force on Climate and ESG

SEC Announces Enforcement Task Force on Climate and ESG Commissioners Peirce, Roisman Question Timing, Recent Focus on ESG March 5, 2021   SEC Acting Chair Allison Herren Lee In the...

March 05, 2021

Keywords: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement

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

SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers

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...

February 17, 2021

Keywords: Allison Herren Lee, Elad Roisman, Hester Peirce, SEC Enforcement

Categories & Topics: Industry Trends, Industry-Level