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’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021 In a lengthy open meeting on July 7, the SEC’s...
July 12, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings
New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings November 11, 2020 In a 3-2 vote, the SEC has significantly amended its exempt offering rules...
November 11, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings Transaction-Based Compensation from Issuer to Finder Permitted under Specific Conditions October 26, 2020 In an...
October 26, 2020
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings June 3, 2020 The IAA is calling on the SEC to expand access to the private markets and make...
June 03, 2020
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams May 29, 2020 In its second meeting since its formation, the SEC’s Asset Management Advisory Committee (AMAC) met...
May 29, 2020
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