The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
Tags: Accredited Investor, Diversity
IAA Priorities Advanced by House Financial Services Committee
IAA priorities to alleviate the regulatory burdens on smaller advisers, expand the definition of accredited investor, and allow e-delivery of disclosure documents were advanced by the House Financial Services Committee.
May 02, 2023
Tags: Accredited Investor, E-Delivery, House Financial Services
House Financial Services Committee Holds Hearing on “Accredited Investor” Definition
The hearing focused on proposals to expand the pool of accredited investors.
February 13, 2023
House Hearing Planned on Expanding Definition of Accredited Investor
An upcoming House Financial Services hearing will focus on expanding the definition of "accredited investor" to provide greater opportunities for retail clients to invest in Regulation D private offerings.
February 03, 2023
Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities. They include...
June 16, 2021
Tags: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and ESG-related disclosure and her investor protection concerns relating to implementation of Regulation Best Interest (Reg BI),...
May 25, 2021
Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings
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, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Three days after announcing his intent to conclude his tenure as SEC Chairman at the end of the year, Jay Clayton returned to the venue of his first speech as...
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions
Updated October 9, 2020 In a first and welcome step to update access by a wider range of investors to the exempt markets, the SEC has, by a 3-2 vote,...
August 26, 2020
Tags: Accredited Investor, QIB
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...
June 03, 2020
Tags: Accredited Investor, Exempt Offerings, Private Offerings, QIB