Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC
Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC December 29, 2020 President Trump has designated Commissioner Elad Roisman as Acting Chairman of the SEC, following the...
December 29, 2020
President Trump Signs Holding Foreign Companies Accountable Act; SEC Issues Findings on Emerging Markets Fund Disclosures December 21, 2020 President Trump has signed into law the Holding Foreign Companies...
December 21, 2020
Agencies Announce More Leadership Changes
Agencies Announce More Leadership Changes December 10, 2020 CFTC Chairman Heath Tarbert CFTC Chairman Heath Tarbert has announced that he plans to leave the CFTC early in 2021, after...
December 10, 2020
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
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go October 27, 2020 A new report by SEC staff seeks to identify the...
October 27, 2020
Statistics Point to Record-Setting Year for SEC
Statistics Point to Record-Setting Year for SEC 15 Percent of Investment Advisers Examined October 15, 2020 SEC Chairman Jay Clayton provided an update on the SEC’s results for the...
October 15, 2020
SEC’s IAC Discusses Self-Directed IRAs, Minority Community Investor Inclusion
SEC’s IAC Discusses Self-Directed IRAs, Minority Community Investor Inclusion October 2, 2020 The SEC’s Investor Advisory Committee (IAC) met on September 24 to discuss self-directed individual retirement accounts (IRAs)...
October 02, 2020
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors September 24, 2020 SEC Chairman Jay Clayton Jay Clayton, Chairman of the SEC, recently gave a speech in which he...
September 24, 2020
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