Regulation
SEC to Start T+1 Settlement Next Week
Securities transactions will have to settled by the following business day.
Tag: SEC
Regulation
SEC Finalizes Reg S-P Data Security Rule
Covered parties must inform customers of a data breach within 30 days.
Regulation
Financial Services Committee Targets SEC Enforcement Activity
Pending legislation would limit the authority of the SEC’s administrative courts and redefine 'violation' in the securities laws.
Regulation
Supreme Court Rules Investors Cannot Sue for Omissions in Disclosures
The ruling still permits the SEC to take enforcement actions.
Regulation
Scope 3 Disclosure Might be Required for Companies With Climate Goals
Attorneys warn of additional compliance needs in testimony to the House Financial Services Committee.
Regulation
SEC Seeks Institutional Investor Reps for Advisory Committee
The independent committee needs representatives of pensions and mutual funds to bolster investor protection.
Regulation
CalSTRS Focuses on Curbing Methane in 2024 Proxy Season
The giant pension fund has a history of pushing for environment-oriented goals.
Regulation
House Republicans Propose 13 Bills to Reform SEC
The legislation would require more economic analysis and longer comment periods.
Regulation
Private Funds Trade Groups Challenge New SEC Dealer Rule
The rule, finalized in February, would require private funds trading large blocks of government securities to register as dealers.
Regulation
SEC Climate Rule Put on Hold
The U.S. 5th Circuit Court of Appeals delayed implementation of the rule, pending further review.
Regulation
SEC Finalizes Amendments to Require Greater Execution Quality Disclosure
Updates to the rule on trade execution received a rare 5-0 vote.
Regulation
SEC Finalizes Climate Disclosure Rule, Omitting Scope 3
The rule has a staggered compliance calendar for different issuers.
Regulation
SEC Electronic Disclosure Bill Proposed in Senate, Vote Coming Soon in House
The legislation requires issuers to default investors into electronic delivery of disclosures currently sent in the mail, albeit after sending two annual opt-out notices.
Regulation
Natasha Vij Greiner to Replace William Birdthistle at SEC
A veteran of more than 20 years at the SEC, Greiner takes over investment management after Birdthistle spent more than two years leading the division.
Regulation
AI Poses Unique Risks to Investors, SEC Chair Says
Conflicts can be easily concealed by complicated and evolving predictive technologies, Gary Gensler argued.