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SEC Approves Nasdaq Board Diversity Proposal | BakerHostetler
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ESG Public Policy and Creating Sustainable Business Economy
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Monday, March 8, 2021
Environmental, social and governance (ESG) matters will increasingly be a priority for the Securities and Exchange Commission (SEC) as evidenced by:
the SEC s announcements last week of the formation of a Climate and ESG task force under the purview of the SEC s Division of Enforcement;
the identification of ESG issues as a 2021 examination priority by the SEC s Division of Examinations on March 3; and
the March 2 Senate confirmation hearing testimony of Gary Gensler, President Joe Biden s nominee to lead the SEC, where Mr. Gensler said that investors increasingly want to see climate risk disclosures.
This follows last month s instruction by Acting SEC Chair Allison Herren Lee that staff of the SEC s Division of Corporation Finance (CorpFin) should augment their focus on climate-related disclosure in public company filings.
Thursday, February 4, 2021
In March 2001, the U.S. Securities and Exchange Commission (“SEC”) published Notice 01-18, pursuant to which the SEC approved rules requiring “Fixed Income Transaction Reporting And Dissemination” under SEC Rule 6200 Series, so that information about the trading of corporate bonds and certain structured products would be publicly available. The reporting system was named “Trade Reporting and Compliance Engine” (“TRACE”). TRACE determines which bond transactions must be reported and when that information must be reported. The TRACE technology platform is administered in conjunction with the Financial Institution Regulatory Authority (“FINRA”), as the successor to the regulatory authority part of the National Association of Securities Dealers (“NASD”). Registered broker-dealers (i.e., registered with the SEC), who are FINRA members (and almost all are), are required to report on TRACE trades in fixed income securities, in
SEC closely monitoring price volatility of certain stocks amid GameStop saga © Spencer Platt/Getty Images The U.S. Securities and Exchange Commission said Friday it is closely monitoring and evaluating the extreme price volatility of certain stocks’ trading prices over the past several days.
Popular Searches This announcement comes at the end of a week that saw massive disruptions on Wall Street fueled by amateur traders loosely organizing on Reddit, although the SEC s statement did not mention any stocks, social media platforms or trading platforms specifically. The Friday statement from the heads of the SEC Acting Chair Allison Herren Lee, Commissioner Hester M. Peirce, Commissioner Elad L. Roisman and Commissioner Caroline A. Crenshaw noted that while the market s infrastructure has proven resilient this week, extreme stock price volatility has the potential to expose investors to rapid and severe losses and undermine market confidence. MORE: How Reddit
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