Led by a Democratic majority, the new Commission is likely to take a different tack on private funds under Gary Gensler than under his predecessor. Compliance pros tell us what funds can do to stay on the SEC’s good side.
'The SEC must grow and evolve with the industry,' chairman says.
'If there’s even the remotest notion that something could cause a disclosure issue, put it in.'
Congressional and SEC Republicans want to set limits on ESG rules, hoping to learn 'from the LIBOR debacle.'
SEC commissioner says the Division of Examinations’ recent alert 'raises questions of its own.'
The SEC has issued guidance on the booming SPAC market, and many believe that more regulation is coming. Will regulators step in before the market shows signs of collapse?
Registered investment advisors are struggling with ESG disclosures and their policies and procedures, the SEC said in a new risk alert.
There are three key questions participants in SPACs must answer when considering whether the Committee on Foreign Investment in the United States will get involved in a deal, write lawyers from Kirkland & Ellis.
The Foundry Capital Group case checks all the boxes for the SEC's 2021 exam priorities.
Michael Cohn will spend the next nine months under house arrest after he admitted to creeping into the Commission's database.