Rep. McHenry Urges SEC to Resist Regulatory Freeze
Rep. Patrick McHenry of North Carolina, the top Republican on the House Financial Services Committee, in a March 12, 2021, …
Moody’s Seeing Varied Practices Reporting Effects of Pandemic
Public companies are filing Form 10-Ks with 2020 results. And analysts with credit ratings agency Moody’s Investors Service said they …
Senate Banking Committee to Hold Hearing on Climate Risk
The Senate Banking Committee is slated to hold a March 18, 2021, hearing on the systemic financial risks posed by …
House to Vote on SEC Mandates on Executive Trading Plans, Senior Investor Protection, and Digital Assets
The House is slated to vote this week on bills requiring the SEC to study reforms to 10b5-1 trading plans, …
SEC Staff Asks for Comments on Ways to Enhance Rules on Investment Company Cross Trading
The SEC’s Division of Investment Management (IM) is asking the public for feedback about ways to enhance the regulatory regime …
SEC Seeks Input on Climate Change Disclosures
The SEC is seeking the public’s input on climate change disclosures, Acting Chair Allison Herren Lee said in a statement …
Senate Panel Advances Gensler Nomination for SEC Chair
The Senate Banking Committee on March 10, 2021, voted 14 to 10 to advance the nomination of Gary Gensler for …
Democratic Bill Would Create Climate Risk Panel at FSOC
House and Senate Democrats have introduced a bill that would require the Financial Stability Oversight Council (FSOC) to set up …
Commissioners Peirce and Roisman: Are SEC’s Recent ESG Initiatives ‘a New Public Relations Twist?
The SEC has issued a slew of statements intended to tackle environmental, social, governance (ESG) issues, especially on climate change …
At Senate Hearing, SEC Nominee Gensler Signals Support for Climate Risk, Political Spending Disclosure Rules
Gary Gensler, President Joe Biden’s pick for SEC chairman, signaled support for launching disclosure rulemakings on corporate political spending and …