Allison Herren Lee Archives

Commissioner Lee Departing the SEC

Allison Herren Lee, who has served as an SEC Commissioner since July 2019, announced that she will be stepping down from her post when her term expires in June.

March 18, 2022

Tags: Allison Herren Lee, SEC Appointments

SEC Considers Potential Rulemaking on Complex Exchange-Traded Products

SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.

October 06, 2021

Tags: Allison Herren Lee, Caroline Crenshaw, ETFs, Gary Gensler

All Eyes on ESG – Plus Tips for Implementing an ESG Program

All Eyes on ESG – Plus Tips for Implementing an ESG Program April 5, 2021 It seems that everyone is focused on ESG investing these days – investors, the...

April 05, 2021

Tags: Allison Herren Lee, Climate, ESG, EU, Gary Gensler

What’s Trending at the SEC

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...

April 17, 2020

Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways

All Things Digital, Private Markets Highlighted at SEC Speaks Conference

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.

October 15, 2021

Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

SEC’s Gensler Previews Upcoming ESG Proposals

SEC’s Gensler Previews Upcoming ESG Proposals August 2, 2021 In a recent speech, SEC Chair Gary Gensler outlined the proposals that he has asked the SEC staff to develop...

August 02, 2021

Tags: Allison Herren Lee, Disclosure, ESG, Gary Gensler

SEC’s Allison Lee to Public Company Boards: Ignore ESG at Your Own Peril

SEC’s Allison Lee to Public Company Boards: Ignore ESG at Your Own Peril June 29, 2021 Declaring that environmental and social issues that were “once perhaps treated as more...

June 29, 2021

Tags: Allison Herren Lee, ESG

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

Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings

SEC Reopens Comment Period on Universal Proxy Proposal, Considers Application to Closed-End Funds and BDCs

SEC Reopens Comment Period on Universal Proxy Proposal, Considers Application to Closed-End Funds and BDCs April 27, 2021 The SEC has reopened the comment period for a proposal to...

April 27, 2021

Tags: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals

As Policy Debates Intensify, IAA Launches New ESG Committee

As Policy Debates Intensify, IAA Launches New ESG Committee Webinar with Head of SEC Enforcement Climate and ESG Task Force Set for May 4 April 8, 2021 To ensure...

April 08, 2021

Tags: Allison Herren Lee, ESG, Kelly Gibson

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