In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee adopted subcommittee recommendations on diversity and inclusion (DEI) and ESG, considered an interim report from the Subcommittee on Private Investments, and heard presentations on technology-enabled personalization in the provision of investment advice.
July 12, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee laid out her views on climate- and ESG-related disclosure, her investor protection concerns relating to implementation of Reg BI, and more in two recent speeches.
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.
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.
November 11, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
The SEC recently voted 3-2 to propose a new exemption from broker-dealer registration for two types of “finders” acting as agents of private issuers to “find” accredited investors.
October 26, 2020
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
The IAA is calling on the SEC to expand access to the private markets and make it easier for advisers to communicate with potential investors – in a new comment letter on the SEC’s exempt offering proposal from March 2020.
June 03, 2020
The SEC has voted to propose amendments to simplify, harmonize, and improve certain aspects of the exempt offering framework.
March 23, 2020
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