News Archives

Commissioner Lee: The Economics of Diversity in Capital Markets

Commissioner Lee: The Economics of Diversity in Capital Markets Why Diversity and Inclusion Matters – and How the SEC Can Promote It October 2, 2020 When it comes to...

October 02, 2020

Tags: Allison Herren Lee, Diversity & Inclusion

SEC Issues Form CRS FAQs on Disciplinary History Disclosures

SEC Issues Form CRS FAQs on Disciplinary History Disclosures October 9, 2020 On October 8, the SEC issued new Form CRS FAQs regarding disciplinary history disclosure requirements. As of...

October 09, 2020

Tags: Disciplinary History, Form CRS

IAA Urges the DOL to Withdraw Proxy Proposal

IAA Urges the DOL to Withdraw Proxy Proposal October 7, 2020 Saying the Department of Labor’s proposed ERISA proxy amendments “would substantially increase costs for plans and fiduciaries without...

October 07, 2020

Tags: DOL, ERISA, Gail Bernstein, Proxy

Statistics Point to Record-Setting Year for SEC

Statistics Point to Record-Setting Year for SEC 15 Percent of Investment Advisers Examined October 15, 2020 SEC Chairman Jay Clayton provided an update on the SEC’s results for the...

October 15, 2020

Tags: Diversity & Inclusion, Jay Clayton, SEC Enforcement

IAA Urges CFA Not to Proceed with ESG Product Disclosure Standard

IAA Urges CFA Not to Proceed with ESG Product Disclosure Standard October 20, 2020 The IAA has urged the CFA Institute (CFA) not to proceed with a proposed ESG...

October 20, 2020

Tags: Disclosure, ESG, Proxy

SEC’s Peirce Calls for Framework to Provide Guidance on CCO Personal Liability

SEC’s Peirce Calls for Framework to Provide Guidance on CCO Personal Liability October 27, 2020 SEC Commissioner Hester Peirce has once again raised concerns about personal liability of CCOs...

October 27, 2020

Tags: CCO, Compliance, Hester Peirce, SEC Enforcement

SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable

SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable October 28, 2020 The SEC and FINRA held a virtual roundtable on October 26 to discuss initial...

October 28, 2020

Tags: Disciplinary History, Form CRS, Reg BI, Retail Clients

SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go

SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go October 27, 2020 A new report by SEC staff seeks to identify the...

October 27, 2020

Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton

DOL Adopts Rule Amendments to Address ESG Investing

DOL Adopts Rule Amendments to Address ESG Investing Amendments Drop “ESG” Terms, Update Tie-Breaker Test and Definition of “Pecuniary Factor” November 3, 2020 Following almost unanimous opposition, the DOL...

November 03, 2020

Tags: Retirement Savings, Active Management, DOL, ERISA, Retirement Plans

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