The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
IAA Priorities Advanced by House Financial Services Committee
IAA priorities to alleviate the regulatory burdens on smaller advisers, expand the definition of accredited investor, and allow e-delivery of disclosure documents were advanced by the House Financial Services Committee.
May 02, 2023
House Financial Services Committee Holds Hearing on “Accredited Investor” Definition
The hearing focused on proposals to expand the pool of accredited investors.
February 13, 2023
House Hearing Planned on Expanding Definition of Accredited Investor
An upcoming House Financial Services hearing will focus on expanding the definition of "accredited investor" to provide greater opportunities for retail clients to invest in Regulation D private offerings.
February 03, 2023
Federal Agencies Release Spring 2021 Regulatory Agendas
Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021 Federal agencies recently released the spring 2021 update...
June 16, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
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 ...
January 13, 2021
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review November 24, 2020 Three days after announcing his intent to conclude his tenure as SEC Chairman...
November 24, 2020
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