Regulation
SEC Collects Record $4.68 Billion in Disgorgement, Penalties in Fiscal 2020
The regulator also doled out a record $175 million to whistleblowers during the year.
Tag: Jay Clayton
Regulation
SEC Rule Change a Boon to Family Offices
New accredited investor definition will include family offices with at least $5 million in assets.
Regulation
SEC’s Proposal to Raise 13F Threshold Stifles Transparency, Critics Say
Dissenting commissioner says regulator doesn’t have the legal authority to raise reporting criteria.
Asset Management Culture
Why Soros, Singer, Paulson (but Not Dalio or Buffett) May Soon Be Exempt from Disclosing Stock Holdings
SEC proposal would lift reporting threshold to $3.5 billion, from $100 million now.
Regulation
Permission to Tap 401(k)s Worries SEC Chief
New penalty-free retirement plan withdrawals, meant as recession relief, may result in too-risky investing, Jay Clayton says.
Regulation
SEC Finalizes ‘Test-The-Waters’ Policy Expansion, Allowing Companies to Solicit Investor Interest Before IPOs
New rule removes Obama-era revenue cap of <$1 billion for companies to solicit investor feedback before going public.
The SEC’s Newest Proposals Would Make Private Equity a Bit Easier on the Eyes
New rules would make the PE arena a lot more navigable, welcoming, and lucrative.