SEC Proposes to Speed up Staff Review of Fund Offerings
By Soyoung Ho The SEC issued a proposal that would set up an expedited review process so funds, such as …
SEC Poised to Finalized Changes to Whistleblower Program
By Soyoung Ho The SEC is poised to finalize changes to its guidelines on whistleblower complaints—changes that consumer advocates are …
Investors to SEC: Back off on Increased Regulation of Proxy Advisers
By Soyoung Ho The Council of Institutional Investors (CII) and a coalition of investors told the SEC that they were …
Bipartisan Group of Senators Introduces Bill to Expand Dodd-Frank Whistleblower Protections
By Bill Flook A bipartisan group of senators has introduced legislation to expand Dodd-Frank Act protections for whistleblower to those …
A Month After Banking Agencies Rolled Back Volcker Rule, SEC Is Poised to Act on Its Version to Simplify Requirements
***UPDATE (09/16/2019): The SEC on September 16, 2019, abruptly cancelled a meeting scheduled for September 18 to vote on its …
Chairman Clayton: Companies Should Provide More Disclosure on Human Capital Management
SEC Chairman Jay Clayton wants public companies to step up and provide more extensive information about how they manage their …
Chairman Clayton Emphasizes Materiality of Information in Setting Disclosure Requirements
SEC Chairman Jay Clayton reiterated his view that the commission’s disclosure requirements should focus on “the material information that a …
Chairman Clayton Says Companies Should Not be Required to Disclose Environmental and Social Matters
In a blow to several investor groups, SEC Chairman Jay Clayton recently said that he does not believe public companies …
Public Companies Told to Reassess Internal Controls for Protection Against Cyber Threats
The SEC said public companies should examine their internal accounting controls in light of threats to cybersecurity. The SEC investigated …
Senate Panel to Vote on Roisman Nomination for SEC Seat
The Senate Banking Committee scheduled its vote to consider the nomination of Elad Roisman to fill a Republican seat on …