Elad Roisman Archives

Commissioner Roisman Departing the SEC

Democrats will have a 3-1 majority on the SEC once Commissioner Elad Roisman's resignation takes effect at the end of January 2022.

December 21, 2021

Tags: Elad Roisman, SEC Appointments

SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance

The SEC is proposing substantial amendments to its controversial 2020 proxy advisory firm rules. And it's seeking comment on its equally controversial guidance for investment advisers on proxy voting, asking whether that guidance should be rescinded, revised, or clarified. This comes after SEC Chair Gary Gensler’s directed staff to consider whether the rules warranted further action and Corp Fin announced it would not recommend enforcement action while the rules were under review.

November 22, 2021

Tags: Elad Roisman, Gary Gensler, Hester Perice, Proxy

SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers

SEC Commissioner Elad Roisman is urging the SEC to provide more clarity around advisers’ cybersecurity obligations, underscoring the need to set clear expectations and promote protection of client account data as firms' reliance on technology grows.

November 04, 2021

Tags: Privacy, Cybersecurity, Elad Roisman

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 Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting

In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.

October 05, 2021

Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

SEC Issues Interim Updates to Whistleblower Procedures

SEC Issues Interim Updates to Whistleblower Procedures Commissioners Peirce and Roisman Take Issue August 24, 2021 The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address...

August 24, 2021

Tags: Elad Roisman, Gary Gensler, Hester Peirce, SEC Enforcement

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency Roisman Raises Concerns about SEC’s Role in ESG Disclosures June 29, 2021 SEC Chair Gary Gensler discussed several of the SEC’s...

June 29, 2021

Tags: Elad Roisman, ESG, Gary Gensler, Regulatory Agendas

Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures

Roisman Outlines Options to Reduce Cost, Burdens of ESG Disclosures June 15, 2021 SEC Commissioner Elad Roisman Reiterating his objections to requiring additional disclosure by corporate issuers related to...

June 15, 2021

Tags: Elad Roisman, ESG

Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule

Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule CorpFin Delays Enforcement Recommendations for Now; Two Commissioners Object June 2, 2021 SEC Chair Gary Gensler In a...

June 02, 2021

Tags: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance

SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs

SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs April 16, 2021 The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and...

April 16, 2021

Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States

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