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
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SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and ESG-related disclosure and her investor protection concerns relating to implementation of Regulation Best Interest (Reg BI),...
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings
In a 3-2 vote, the SEC has significantly amended its exempt offering rules to promote capital formation and expand investment opportunities while preserving or improving important investor protections. The amendments...
November 11, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
In an effort to provide additional access to capital for businesses, the SEC recently voted 3-2 to propose a new exemption from broker-dealer registration for two types of “finders” acting...
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 Proposes Amendments to Private Offering Rules To Increase Investor Opportunities, Expand Access to Capital March 23, 2020 The SEC has voted to propose amendments to simplify, harmonize, and...
March 23, 2020