News Archives

SEC to Public Companies: Disclosures Should Reflect Changes Caused by COVID-19 Pandemic, Info on Future Operations and Needs

SEC to Public Companies: Disclosures Should Reflect Changes Caused by COVID-19 Pandemic, Info on Future Operations and Needs April 10, 2020 Anticipating release of first quarter earnings and related discussions with...

April 10, 2020

Tags: Jay Clayton, SEC Corporation Finance

Clayton Urges Increased Care for Retail Investors in Wake of Pandemic

Clayton Urges Increased Care for Retail Investors in Wake of Pandemic Also Confirms June 30 Reg BI, Form CRS Compliance Date June 18, 2020 Jay Clayton Saying the effects...

June 18, 2020

Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans

SEC Extends Relief for In-Person Board Meetings

SEC Extends Relief for In-Person Board Meetings Declines to Extend Form ADV and Other Filing, Delivery Requirements June 22, 2020 The SEC has issued an order that extends the time for relief...

June 22, 2020

Tags: Coronavirus, COVID-19

More Individuals Qualified for CARES Act Coronavirus-Related Retirement Plan Distributions, Loans Under New IRS Guidance

More Individuals Qualified for CARES Act Coronavirus-Related Retirement Plan Distributions, Loans Under New IRS Guidance Also Increases Loan Amounts, Includes Temporary Suspension of Repayments June 22, 2020 The IRS...

June 22, 2020

Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans

Supreme Court Rules Both For – and Against – SEC on Disgorgement Question

Supreme Court Rules Both For – and Against – SEC on Disgorgement Question June 22, 2020 In an important case for the SEC’s enforcement powers, the Supreme Court has...

June 22, 2020

Tags: Disgorgement, SEC Enforcement, Supreme Court

New, 11th Hour Form CRS FAQs Published by SEC

New, 11th Hour Form CRS FAQs Published by SEC June 26, 2020 With the June 30 compliance date less than two business days away, the SEC staff on June...

June 26, 2020

Tags: Form CRS

Regulation Best Interest – and Form CRS – Are Here to Stay: Court of Appeals Rejects Challenges to New SEC Rule for Broker-Dealers

Regulation Best Interest – and Form CRS – Are Here to Stay: Court of Appeals Rejects Challenges to New SEC Rule for Broker-Dealers June 29, 2020 The Court of...

June 29, 2020

Tags: Form CRS, Reg BI

DOL ERISA Proposals Single Out ESG Investments for Extra Scrutiny

DOL ERISA Proposals Single Out ESG Investments for Extra Scrutiny Amendments Would Make It More Difficult to Include ESG Options in Plans July 1, 2020 The DOL has proposed...

July 01, 2020

Tags: Retirement Savings, DOL, ERISA, Retirement Plans

DOL Advice Proposal Confirms Five-Part Fiduciary Test, Includes Class Exemption Based on Impartial Conduct Standards

DOL Advice Proposal Confirms Five-Part Fiduciary Test, Includes Class Exemption Based on Impartial Conduct Standards July 1, 2020 (updated July 31, 2020) Two years after its fiduciary rule was vacated,...

July 01, 2020

Tags: DOL, ERISA, Fiduciary

SEC’s Roisman: More ESG Disclosures from Asset Managers, But Not Public Companies

SEC’s Roisman: More ESG Disclosures from Asset Managers, But Not Public Companies Signals Proxy Rule is Forthcoming July 10, 2020 In a recent speech to the Society for Corporate...

July 10, 2020

Tags: DOL, Elad Roisman, ESG

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