Commissioner Roisman Departing the SEC
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December 21, 2021
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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 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
SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency
SEC Chair Gary Gensler discussed several of the SEC’s regulatory initiatives in a recent speech, focusing on climate- and ESG-related disclosures, market structure, and transparency.
June 29, 2021
Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures
SEC Commissioner Elad Roisman nevertheless offered suggestions recently on how the SEC could tailor new ESG disclosure requirements to balance the benefits with the associated costs.
June 15, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda and introduced two new agenda items for 2021.
April 02, 2021
SEC Announces Enforcement Task Force on Climate and ESG
In yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has created a Climate and ESG Task Force.
March 05, 2021
SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers
SEC Acting Chair Allison Herren Lee has reversed a practice that has allowed the SEC’s Division of Enforcement to recommend a settlement offer to the SEC that is conditioned on granting a waiver from a disqualification provision under the federal securities laws.
February 17, 2021