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Recent Pay-To-Play Settlement: Notwithstanding A Strong Dissent Over 206(4)-5 Overbreadth, The Need For Strong Compliance Policies Persists - Financial Services

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act...

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Recent Pay-to-Play Settlement: Notwithstanding a Strong Dissent Over 206(4)-5 Overbreadth, the Need for Strong Compliance Policies Persists | WilmerHale

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of...

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Hester Peirce Calls Two of SEC's Enforcement Actions 'Arbitrary,' Says Agency's Ambiguity May Be Deliberate

Hester Peirce Calls Two of SEC's Enforcement Actions 'Arbitrary,' Says Agency's Ambiguity May Be Deliberate
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Another House hearing on climate disclosure rules? | Cooley LLP

Yesterday, the House Financial Services Committee held a hearing entitled “Beyond Scope: How the SEC’s Climate Rule Threatens American Markets.” Since, as one of the committee members...

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Highlights from SEC Speaks 2024: Chair/Commissioner Remarks and Litigation and Enforcement Trends | Vedder Price

Highlights from SEC Speaks 2024: Chair/Commissioner Remarks and Litigation and Enforcement Trends | Vedder Price
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Hester Peirce blasts SEC, Gurbir Grewal rejects SEC criticism: Law Decoded

Hester Peirce blasts SEC, Gurbir Grewal rejects SEC criticism: Law Decoded
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Hester Peirce Criticizes SEC's Closed-Door Policy for Hampering Crypto Innovation

US SEC Commissioner Hester Peirce openly criticized the regulator's latest crypto custody policies, including the SAB 121.

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Commissioner Peirce blasts SEC for failing to engage with the public | Cooley LLP

In her remarks yesterday at PLI’s SEC Speaks—after a detour to excoriate the SEC’s “maze of staff guidance” defining industry practices that has become effectively “mandatory” even in...

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2024 Roundtable On Retail Investors and Fraud Prevention Welcome Remarks, SEC Commissioner Jaime Lizárraga, Washington D.C., March 28, 2024

2024 Roundtable On Retail Investors and Fraud Prevention Welcome Remarks, SEC Commissioner Jaime Lizárraga, Washington D.C., March 28, 2024
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SEC Finalizes Much-Anticipated Climate Disclosure Rules | Katten Muchin Rosenman LLP

On March 6, the Securities and Exchange Commission (SEC) voted three to two to pass the much-anticipated final rules regarding the enhancement and standardization of climate-related...

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