Displaying 64 results
Overreach or on point? Gensler’s agenda debated
The SEC's rulemaking roster includes 27 in the proposal stage and 26 in the final stage — giving everyone plenty of favorites and targets.
SEC weighs waiving some rules to regulate crypto, Gensler says
The SEC chief says disclosures can be tailored for digital firms. He mentioned that such an approach is used for asset-backed securities and equity offerings.
Coming soon: Single-stock ETFs for traders but not investors
The first examples of this new strain of ETF creativity could hit the markets within days, giving day traders another toy and financial advisers another headache.
Agenda-driven SEC determined to prevail despite critics’ pushback
The latest iteration of Chairman Gary Gensler's agenda contains 53 pending proposals. The financial industry is nervous.
Wall Street and the SEC headed for clash on commission-free trading
SEC Chair Gary Gensler argues the U.S. equities market is littered with hidden costs and conflicts of interest.
SEC effort to give Reg BI more teeth has yet to bite
It’s not clear when the agency will announce its first major enforcement actions regarding recommendations brokers make to customers, the substantive heart of the regulation.
SEC examining complex ETF products popular in market downturns
SEC Chairman Gary Gensler warns that the products “can pose risks even to sophisticated investors, and can potentially create systemwide risks by operating in unanticipated ways."
Trade associations raise concerns about SEC’s cybersecurity proposal
Investment Adviser Association, American Securities Association say advisers need more than 48 hours to report breaches to SEC.
SEC ruling reignites spot US bitcoin ETF approval debate
The agency gave its blessing to the Teucrium Bitcoin Futures Fund application which was filed under the Securities Act of 1933.
SEC moves to mandate Scope 3 emissions reporting
Securities issuers would also have to report Scope 1 and 2 emissions, or those that are directly from their operations and the energy they use, on their registration statements and periodic reports.
SEC’s Gensler takes aim at robo-adviser investing strategies
The Securities and Exchange Commission chairman raised questions about the effect that behavioral prompts — like encouraging clients to trade more often or using algorithms to steer them into high-risk, high-fee products — might have on investing outcomes.
SEC’s Gensler tweets warning about greenwashing
The chairman of the Securities and Exchange Commission posted a video on Twitter Tuesday that goes over some of his top concerns about investment funds claiming to follow ESG criteria.
SEC bogs down on climate rule, handing White House fresh setback
At issue is how much environmental data companies can be forced to disclose before regulators put themselves in legal jeopardy.
SEC keeps up pressure on private fund advisers
Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.
Cybersecurity rule would clarify what SEC expects of advisers
A pending proposal likely would focus on strengthening advisory firms' disclosures and their preparedness for cyber risks.
Gensler warns financial industry not to push into regulatory gray areas
In a recent public appearance, the SEC chair addressed so-called 'regulation by enforcement' without mentioning it by name.
Gensler defends 30-day comment periods for SEC proposals
'It’s really important to get the public feedback, but it’s also really important to move on,' the agency's chairman told a group of financial industry representatives.
Gensler sets fast pace, expansive policies at SEC with Democrats in control
The legislative highlight of the year was Democrats raising fewer taxes on the wealthy than anticipated.
Should celebrity profiles be considered investment advice?
Investing apps allow investors to trade securities and share those strategies with like-minded traders. Regulators may need to consider whether they're also providing investment advice.
XYPN petitions SEC for brighter line between brokers, advisers
The network is prodding the SEC to force brokers to register as advisers if they give advice, provide financial planning or hold themselves out as advisers.
