Tag: SEC Investor Advocate
IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
Tags: IAC, Mutual Funds, Private Funds, SEC Investor Advocate
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
July 07, 2021
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate
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
SEC’s Office of the Investor Advocate Announces its Priorities for 2021
The SEC’s Office of the Investor Advocate has set forth its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2021.
July 06, 2020
Tags: SEC Investor Advocate
The report discusses three policy areas of strong interest to investment advisers – regulation of proxy advisory firms, Form CRS, and the Commission’s Interpretation of the “solely incidental” exclusion from the Advisers Act for broker-dealers.
December 29, 2019
Tags: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
