Tag: SEC
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The past year has seen a significant increase in the U.S. Securities and Exchange Commission’s (SEC’s) focus on environmental, social, and governance (ESG) issues.
June 30, 2021
Tags: ESG, Examinations, SEC
SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers
SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers August 17, 2021 In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have...
August 17, 2021
Director of SEC’s Chicago Regional Office Leaving SEC
Director of SEC’s Chicago Regional Office Leaving SEC April 27, 2021 Joel R. Levin, Director of the SEC’s Chicago Regional Office, will leave the SEC at the end of...
April 27, 2021
Tags: SEC
IM Division Director Blass Discusses Innovations and Areas of Future Focus
IM Division Director Blass Discusses Innovations and Areas of Future Focus December 18, 2019 Dalia Blass, Director of the SEC’s Division of Investment Management, recently discussed innovations in the fund...
December 18, 2019
Tags: Bitcoin, Dalia Blass, Discosure, ETFs, SEC
SEC Names New Head of Philadelphia Regional Office
SEC Names New Head of Philadelphia Regional Office March 11, 2020 The SEC announced that Kelly L. Gibson has been named director of the SEC’s Philadelphia Regional Office. She...
March 11, 2020
Tags: SEC
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas July 14, 2020 Federal agencies recently released the spring 2020 update to their regulatory agendas. Each agency’s agenda is...
July 14, 2020
Tags: CFTC, DOL, FinCEN, Regulatory Agendas, SEC
SEC Creates COVID-19 Market Monitoring Group
SEC Creates COVID-19 Market Monitoring Group April 27, 2020 The SEC has formed an internal, cross-divisional COVID-19 Market Monitoring Group to assist agency officials with actions and analyses related...
April 27, 2020
Tags: Coronavirus, SEC
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold July 13, 2020 The SEC is proposing to raise the Form 13F reporting threshold for institutional investment managers...
July 13, 2020
Tags: Allison Herren Lee, Form 13F, SEC
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