President Trump has signed into law the Holding Foreign Companies Accountable Act to restrict the ability of foreign issuers to trade on U.S. exchanges if their auditors are not inspected by the Public Company Accounting Oversight Board.
December 21, 2020
Agencies Announce More Leadership Changes
Heath Tarbert and Stehpanie Avakian will depart the CFTC and SEC, respectively.
December 10, 2020
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
A new report by SEC staff seeks to identify the extent to which interconnectedness and related interdependencies in the U.S. credit markets contributed to or mitigated risk during the market stress brought on by the COVID-19. pandemic.
October 27, 2020
Statistics Point to Record-Setting Year for SEC
SEC Chairman Jay Clayton provided an update on the SEC’s results for the 2020 fiscal year during this year’s virtual SEC Speaks conference.
October 15, 2020
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors
Jay Clayton, Chairman of the SEC, recently gave a speech in which he reiterated his focus on retail investors.
September 24, 2020
The SEC has fined a Texas-based investment adviser regarding failures to disclose certain practices by the adviser in connection with teacher retirement plans and certain benefits received in connection with mutual fund share class selection practices.
August 11, 2020
The SEC’s Asset Management Advisory Committee held a special meeting on July 16 that included two panel discussions, the first on diversity and inclusion in the asset management industry and the second on data privacy and technology’s impact on investment advice.
July 23, 2020
DOL Confirms DC Plans May Offer Options that Include Private Equity Investments
The DOL recently issued an Information Letter confirming that defined contribution plans may offer as an investment option a professionally managed asset allocation fund, such as a target date fund, that includes as a component private equity investments.
June 09, 2020
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