SEC proposes oversight of outsourced investment advisory services
The Securities and Exchange Commission today proposed new rules to prohibit registered investment advisers from outsourcing certain services and functions ...
Tag: SEC
SEC adopts ‘clawback’ rules for erroneously awarded incentive pay
The Securities and Exchange Commission today adopted rules requiring public companies to recover incentive-based executive compensation if that pay was ...
SEC proposes new rules for clearing agencies
The SEC proposed a set of new rules for clearing agencies that provide central counterparty services for U.S. Treasury Securities ...
SEC adopts new reporting requirements for executive compensation
The Securities and Exchange Commission today adopted new requirements for company disclosures concerning executive compensation.
SEC updates regulatory strategic plan
The Securities and Exchange Commission today released a draft strategic plan that calls on the agency to development a “robust” ...
These banks effectively tell their ESG stories
Regardless of where your bank stands on environment, social or governance-related policies, banks have good stories to tell investors who ...
ABA seeks clarity on SEC rule regarding indenture trustees
In a letter following up on a recent meeting between ABA and the Securities and Exchange Commission, ABA called for ...
ABA calls for significant changes to SEC climate risk disclosure framework
Warning that the agency is going far beyond its mandate, the American Bankers Association today week urged the Securities and ...
SEC nearly doubles crypto-threat staff
The Securities and Exchange Commission is adding 20 positions to the unit responsible for protecting investors in crypto markets and ...
MSRB proposes to extend SEC’s Regulation Best Interest to bank dealers
The Municipal Securities Rulemaking Board today proposed a rule change that would amend an existing rule on the suitability of ...
