Securities and Exchange Commission

"The themes that dominated the hearing were (1) the pace of SEC rulemaking; (2) cryptocurrency policy and cryptocurrency fraud; and (3) ESG.  Other topics receiving significant attention included [...]

"All of this is difficult to square with the fiduciary duties RIAs owe their clients. Remember, the “fiduciary duty” standard applicable to RIAs is intended to set them apart from their [...]

"In what we view as the most important and consequential exchange of the day, Gary Gensler badly mishandled opening questions from the HFSC Chair about whether the cryptocurrency Ether is a [...]

"House Republicans devoted the overwhelming majority of their time to criticizing the SEC’s decision to pursue a climate disclosure rule, drowning out all other issues. Whereas Gensler’s [...]

It is imperative that protecting older Americans remain a top priority for the Commission.5 Because of the central role the Strategic Plan plays in guiding the SEC’s actions, including by helping [...]

So-called “Scope 3 ” emissions disclosure requirements remain - by far – the biggest political liability of the SEC’s climate disclosure proposal. Opponents of the SEC rule proposal have been [...]

As organizations, we write to express our collective concern about the Securities and Exchange Commission’s continuing failure to meaningfully review or analyze self-regulatory organization (SRO) [...]

On July 6, the U.S. House Committee on Financial Services announced the following schedule for the month of July 2022. Notably, the schedule features a rare subcommittee hearing on oversight of [...]

“The undersigned comprise a coalition of stakeholders who each represent and advocate for retail investor rights. Our coalition is concerned about the lack of transparency in how mandatory [...]

This evening, the U.S. House considered a slate of financial services committee bills on an expedited basis, via the House Suspension Calendar.  The legislation approved in the House today [...]