SEC Acting Chair Allison Herren Lee is inviting public input from investors, registrants, and other market participants on climate change disclosure.
March 17, 2021
Tags: Allison Herren Lee, Climate, ESG, Proxy
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
Tags: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement
SEC Staff to Increase Focus on Climate-Related Disclosures
Acting Chair Allison Herren Lee has directed staff in the SEC’s Division of Corporation Finance to “enhance its focus on climate-related disclosure in public company filings.”
March 01, 2021
Tags: Allison Herren Lee, ESG
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
Tags: Allison Herren Lee, Elad Roisman, Hester Peirce, SEC Enforcement
SEC Acting Chair Boosts Enforcement Division Powers
Acting Chair Allison Herren Lee has restored authority to senior Division of Enforcement officers to initiate formal investigations – authority they had been stripped of by the Trump Administration.
February 11, 2021
Elevating Climate and ESG Issues, the SEC Names a New Senior Policy Advisor
In a signal that the SEC will prioritize both issues under the Biden Administration, the SEC has created a new senior policy advisor position on climate change and ESG.
February 10, 2021
Tags: Allison Herren Lee, Climate Change, ESG, Satyam Khanna
Acting Chairs: Lee at SEC, Behnam at CFTC
President Joe Biden has designated SEC Commissioner Allison Herren Lee as the agency’s Acting Chair.
January 29, 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
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
Commissioner Lee Calls for SEC to Focus on Climate Change
Commissioner Allison Herren Lee is calling on the SEC to treat climate risk as a systemic risk due to the “potentially irreversible” nature of climate change.
November 17, 2020
Tags: Allison Herren Lee, Disclosure, ESG
Commissioner Lee: The Economics of Diversity in Capital Markets
When it comes to the importance of diversity and inclusion in the capital markets and the corporate world, SEC Commissioner Allison Herren Lee says the economic evidence is in: diversity correlates with enhanced performance.
October 02, 2020