Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC
Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC December 29, 2020 President Trump has designated Commissioner Elad Roisman as Acting Chairman of the SEC, following the...
December 29, 2020
Agencies Announce More Leadership Changes
Agencies Announce More Leadership Changes December 10, 2020 CFTC Chairman Heath Tarbert CFTC Chairman Heath Tarbert has announced that he plans to leave the CFTC early in 2021, after...
December 10, 2020
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review November 24, 2020 Three days after announcing his intent to conclude his tenure as SEC Chairman...
November 24, 2020
Statistics Point to Record-Setting Year for SEC
Statistics Point to Record-Setting Year for SEC 15 Percent of Investment Advisers Examined October 15, 2020 SEC Chairman Jay Clayton provided an update on the SEC’s results for the...
October 15, 2020
Highlights from the IAA/CMS Trading and Best Execution Summit: Market Structure Changes and IAs’ Trading, Best Ex Obligations June 24, 2020 The IAA’s second annual Trading and Best Execution...
June 24, 2020
SEC COVID-19 Market Monitoring Group Update
SEC COVID-19 Market Monitoring Group Update May 19, 2020 Following inquiries about its work, SEC Chairman Jay Clayton and Chief Economist S.P. Kothari issued an update on the efforts...
May 19, 2020
SEC to Public Companies: Disclosures Should Reflect Changes Caused by COVID-19 Pandemic, Info on Future Operations and Needs April 10, 2020 Anticipating release of first quarter earnings and related discussions with...
April 10, 2020
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment April 8, 2020 SEC Commissioner Allison Herren Lee has called on her agency to “move quickly and clearly” to...
April 08, 2020
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