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Securities and Exchange Commission

Home » Securities and Exchange Commission
AARP Submits Comment Letter on SEC’s Draft Strategic Plan
By Michael Canning
In Securities and Exchange Commission
Posted September 30, 2022

AARP Submits Comment Letter on SEC’s Draft Strategic Plan

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 [...]

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11 Takeaways from SEC Chair Gensler’s September 15th Appearance Before Congress
By Michael Canning
In Congress, Securities and Exchange Commission, Senate Banking Committee
Posted September 15, 2022

11 Takeaways from SEC Chair Gensler’s September 15th Appearance Before Congress

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 [...]

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Leading Consumer and Investor Advocates Urge SEC to Review SRO Exchange Fee Filing Rules
By Michael Canning
In market structure, Securities and Exchange Commission
Posted August 7, 2022

Leading Consumer and Investor Advocates Urge SEC to Review SRO Exchange Fee Filing Rules

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) [...]

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House Financial Services Committee Announces July 2022 Schedule
By Michael Canning
In Congress, Securities and Exchange Commission
Posted May 31, 2022

House Financial Services Committee Announces July 2022 Schedule

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 [...]

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Investor Advocates, Labor Organizations, Urge SEC to Scrutinize RIA “Forced Arbitration”
By Michael Canning
In Congress, Securities and Exchange Commission
Posted May 18, 2022

Investor Advocates, Labor Organizations, Urge SEC to Scrutinize RIA “Forced Arbitration”

“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 [...]

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LXR Group Advisory: Analysis of Key Financial Services Legislation on this Week’s House Suspension Calendar (H.R. 5914 and H.R. 935)
By Michael Canning
In Congress, House Financial Services Committee, Securities and Exchange Commission
Posted May 11, 2022

LXR Group Advisory: Analysis of Key Financial Services Legislation on this Week’s House Suspension Calendar (H.R. 5914 and H.R. 935)

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 [...]

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Public Summary and Analysis: CATO Institute Symposium on “New Technology and Old Rules: Constructing a Crypto Regulatory Framework.”  January 13, 2022.
By Michael Canning
In Digital Assets, Securities and Exchange Commission
Posted January 25, 2022

Public Summary and Analysis: CATO Institute Symposium on “New Technology and Old Rules: Constructing a Crypto Regulatory Framework.” January 13, 2022.

LXR Group Public Summary and Analysis: CATO Institute Symposium on “New Technology and Old Rules: Constructing a Crypto Regulatory Framework.”  January 13, 2022. By Emmerson McClintock, LXR [...]

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Recent Posts
  • Five Top Takeaways from NASAA’s New Policy Agenda for the 118th Congress
  • Eight Takeaways from Tuesday’s Trainwreck on the House Floor
  • Biweekly Bulletin on Capital Markets & Financial Services Policy – Vol. 18 (November 29 – December 16, 2022)
  • Analysis: 8 Key Takeaways from Congress’s December 17th Hearing on the Meltdown of FTX.
  • Waters, McHenry, Discuss Cryptocurrency and Stablecoin Plans at Final Hearing of 2022

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