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SEC Commissioner Allison Herren Lee to not seek second term

SEC Commissioner Allison Herren Lee to not seek second term
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Allison Herren Lee | Greenbiz

Allison Herren Lee
Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office July 8, 2019. She was designated Acting Chair of the Commission by President Joseph Biden Jr., on Jan. 21, 2021.
She brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. She served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as Senior Counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a Special Assistant U.S. Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporti ....

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Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP

REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

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Allison Herren Lee Named Acting Chair Of The SEC

Allison Herren Lee Named Acting Chair Of The SEC
Date
21/01/2021
The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency.
“It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee said. “I have tremendous respect for my colleagues on the Commission and the exceptional staff across the agency, and look forward to working closely with them. Together we will continue the agency’s work of protecting investors and ensuring market integrity.”
“During my time as Commissioner, I have focused on climate and sustainability, and those issues will continue to be a priority for me,” Lee added. ....

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SEC.gov | Allison Herren Lee Named Acting Chair of the SEC

FOR IMMEDIATE RELEASE
Washington D.C., Jan. 21, 2021
The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency.
“It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee said. “I have tremendous respect for my colleagues on the Commission and the exceptional staff across the agency, and look forward to working closely with them. Together we will continue the agency’s work of protecting investors and ensuring market integrity.”
“During my time as Commissioner, I have focused on climate and sustainability, and those issues will continue to be a priority for me,” Lee added. ....

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