What New SEC Leadership Could Mean for Crypto, Private Markets, and More
Three areas for investors to watch as Paul Atkins takes over as chair of the Securities and Exchange Commission.
Can the SEC Climate Rule Spur a Culture of Voluntary Disclosure?
The Security and Exchange Commission’s recently adopted regulations on greenhouse gas emissions and climate-related financial disclosures mark a significant step toward availability of public information for investors in the future.
What Can Regulators Do About Crypto?
True investor protection involves proactively creating a predictable regulatory regime.
Why Investors Should Care About What the SEC Is Doing on ESG
So, what is this uproar over ESG? Do investors care? Do we need more disclosure?
How the SEC Can Make Relationship Summaries Useful for Investors
Customer Relationship Summaries, also known as Form CRS, are a key accompaniment to the SEC’s Regulation Best Interest, or Reg BI, which governs the standard of conduct for broker/dealers. As of last year, broker/dealers, Registered Investment Advisors, and dually registered firms must provide each client, or prospective client, with the firm’s Form CRS.
Did GameStop Put Congress on the Right Track to Improving Trading Regulation?
We believe that some policy ramifications of the GameStop/Robinhood uproar are likely. Here's a look at some of the possibilities and trade-offs.