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 Office of the Investor Advocate Announces Objectives for 2022 July 7, 2021 The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy...
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation December 29, 2019 Rick FlemmingSEC Investor Advocate The SEC’s Office of...
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