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SEC Approves Nasdaq Board Diversity Proposal | BakerHostetler jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
ESG Public Policy and Creating Sustainable Business Economy natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
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 securiti ....