Tag: Allison Herren Lee
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold
The SEC is proposing to raise the Form 13F reporting threshold for institutional investment managers for the first time in more than 40 years – from $100 million to $3.5 billion.
July 13, 2020
Tags: Allison Herren Lee, Form 13F, SEC
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and disclosure effectiveness more generally – dominated the May 21 meeting of the SEC’s Investor Advisory Committee (IAC).
June 03, 2020
Tags: Form ADV, Allison Herren Lee, Disclosure, ESG, Form CRS, Hester Peirce, IAC, Jay Clayton
The SEC speaks, and CCOs listen.
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment
SEC Commissioner Allison Herren Lee has called on her agency to “move quickly and clearly” to extend current and recently closed comment periods on proposed regulatory actions – and to refrain from taking regulatory action while the COVID-19 crisis persists.
April 08, 2020
Tags: Allison Herren Lee, Coronavirus, COVID-19, Jay Clayton
Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule
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