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.
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
The report discusses three policy areas of strong interest to investment advisers – regulation of proxy advisory firms, Form CRS, and the Commission’s Interpretation of the “solely incidental” exclusion from the Advisers Act for broker-dealers.
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