Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Biden SEC Chair Nominee Gensler One Step from Confirmation
The Senate Banking, Housing, and Urban Affairs Committee voted 14-10 today to advance President Joe Biden’s nomination of…
ESG Matters Listed Among SEC’s 2021 Exam Priorities
The SEC is out with its 2021 Examination Priorities, and while they are in large part similar to…
Biden Taps ‘Tenacious Regulator’ Gensler to Lead SEC
The Securities and Exchange Commission (SEC) looks like it will take a much tougher stance on Wall Street…
Biden Rumored to Pick Gary Gensler as SEC Chairman
President-elect Joe Biden is expected to choose Gary Gensler, a former financial regulator, and Goldman Sachs executive, to…
Trump Names Elad Roisman as New SEC Chair
The Securities and Exchange Commission today announced that President Donald Trump designated Elad L. Roisman as Acting Chairman…
Voya Settles with SEC for ‘Violating Its Fiduciary Duty’
The Securities and Exchange Commission announced on Monday that Voya Financial Advisors, Inc. (Voya) has agreed to settle…
SEC Adopts Electronic Signature for Document Submission
Welcome to the 21st century. Last week, the Securities and Exchange Commission finally voted to adopt rules to…
SEC Chairman Clayton to Step Down at Year’s End
SEC Chairman Jay Clayton’s controversial tenure will conclude at the end of this year, it was announced on…
The RIA Industry Experiences Steady Growth
The investment advisor industry continued to experience record-level growth through 2019, including in the number of registered advisors…
SEC Makes it Harder for Investors to Influence Corporate Agendas
The Securities and Exchange Commission (SEC) voted on Wednesday to adopt amendments that critics say make it harder…