Regulation
SEC Withdraws 14 Biden-Era Rulemaking Proposals
Commission says it does not intend to issue final rules on best execution, ESG, cybersecurity and other proposals.
Tag: Securities and Exchange Commission
Regulation
SEC Announces Director of Investment Management Will Step Down
Natasha Vij Greiner leaves the agency after 23 years, having served in her final role since March 2024.
Regulation
Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges
In a letter to the SEC, senators and representatives wrote that a ban would remove an ‘unacceptable risk’ and protect American markets, investors and security.
Regulation
SEC Announces Unit to Protect Investors From Crypto, AI Scams
The Cyber and Emerging Technologies Unit will be led by Laura D’Allaird, who was co-chief of the predecessor Crypto Assets and Cyber Unit.
Newsmakers
Sam Waldon Named Acting SEC Enforcement Head
Acting SEC Chair Mark Uyeda named the former acting deputy director as acting director of the division of enforcement.
Newsmakers
Academics Form ‘Shadow SEC’ Group to Facilitate Policy Discussions on Federal Securities Laws
The academic group will seek the “wisest possible federal securities laws and policies” and backed Trump’s pick for SEC chair.
Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.
Newsmakers
Trump’s SEC Nomination Draws Strong Reactions
The appointment of Paul Atkins as SEC chair, pending Senate confirmation, received predictably mixed reactions, with cryptocurrency a hot talking point on both sides.
Newsmakers
SEC Chair Gensler to Step Down January 20
After a 'robust rulemaking agenda,' Gensler's departure will coincide with President-elect Trump's inauguration.
Opinion
Private Fund Advisers Rules in Retrospect: Just Sound and Fury, Signifying Nothing?
Although vacated by a federal court earlier this year, the rules’ themes are still worth consideration
How Investors, Public Companies View SEC’s Cybersecurity Disclosure Requirements
Disclosure requirements can be a hassle for companies, but investors seek to understand material risks.
Regulation
SEC Postpones Mutual Fund Swing Pricing and Hard Close Proposals
The regulator's decision offers relief to mutual fund managers, despite some added reporting requirements.
Regulation
SEC’s Best Takes Leave Again to ‘Focus on His Health’
Keith Cassidy will serve as interim acting director of the regulator’s examinations division, as Best takes second medical leave in a year.
Investment Fund CIO Pleads Guilty to Securities Fraud
Joshua Goltry ‘lied about nearly every aspect’ of his fund’s operations and performance, according to federal prosecutors and the SEC.
Asset Allocation
SEC Climate Rule Will Reduce Information Asymmetry, Protect Investors, Congressman Says
Representative Sean Casten, in an interview with CIO, explained the SEC’s new rule will insulate less-sophisticated investors from climate risk.