Regulation
SEC Announces Unit to Protect Investors From Crypto, AI Scams
The Cyber and Emerging Technologies Unit will be led by Laura D’Allaird, who was co-chief of the predecessor Crypto Assets and Cyber Unit.
Tag: Securities and Exchange Commission
Newsmakers
Sam Waldon Named Acting SEC Enforcement Head
Acting SEC Chair Mark Uyeda named the former acting deputy director as acting director of the division of enforcement.
Newsmakers
Academics Form ‘Shadow SEC’ Group to Facilitate Policy Discussions on Federal Securities Laws
The academic group will seek the “wisest possible federal securities laws and policies” and backed Trump’s pick for SEC chair.
Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.
Newsmakers
Trump’s SEC Nomination Draws Strong Reactions
The appointment of Paul Atkins as SEC chair, pending Senate confirmation, received predictably mixed reactions, with cryptocurrency a hot talking point on both sides.
Newsmakers
SEC Chair Gensler to Step Down January 20
After a 'robust rulemaking agenda,' Gensler's departure will coincide with President-elect Trump's inauguration.
Opinion
Private Fund Advisers Rules in Retrospect: Just Sound and Fury, Signifying Nothing?
Although vacated by a federal court earlier this year, the rules’ themes are still worth consideration
How Investors, Public Companies View SEC’s Cybersecurity Disclosure Requirements
Disclosure requirements can be a hassle for companies, but investors seek to understand material risks.
Regulation
SEC Postpones Mutual Fund Swing Pricing and Hard Close Proposals
The regulator's decision offers relief to mutual fund managers, despite some added reporting requirements.
Regulation
SEC’s Best Takes Leave Again to ‘Focus on His Health’
Keith Cassidy will serve as interim acting director of the regulator’s examinations division, as Best takes second medical leave in a year.
Investment Fund CIO Pleads Guilty to Securities Fraud
Joshua Goltry ‘lied about nearly every aspect’ of his fund’s operations and performance, according to federal prosecutors and the SEC.
Asset Allocation
SEC Climate Rule Will Reduce Information Asymmetry, Protect Investors, Congressman Says
Representative Sean Casten, in an interview with CIO, explained the SEC’s new rule will insulate less-sophisticated investors from climate risk.
Regulation
SEC Seeks Institutional Investor Reps for Advisory Committee
The independent committee needs representatives of pensions and mutual funds to bolster investor protection.
Regulation
Regulating the Robots
The current SEC proposal is seen as overreaching, but industry watchers see benefits if changes are made.
Risk
SEC’s Climate Risk Disclosure Rule Faces 3 Lawsuits Within 1 Week of Finalization
The two initial complaints were filed by 19 Republican-leaning states and, separately, the Sierra Club.