The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
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.
SEC’s Gensler Questions Executive Stock Ownership Plans June 9, 2021 SEC Chair Gary Gensler Pointing to “real cracks in our insider trading regime,” SEC Chair Gary Gensler told a...
SEC’s Crenshaw Warns of Unnecessary Burdens, Missed Opportunities, Bad Regulation Due to Regulatory “Data Gaps” Calls for More Investor Testing of Form CRS May 19, 2021 SEC Commissioner Caroline...
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021 The SEC’s Asset Management Advisory Committee’s (AMAC’s)...
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
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