by David Schwartz J.D. CPA | Jul 30, 2023 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes
In early 2022, the Securities and Exchange Commission (SEC) proposed several significant changes to Regulations 13D and 13G, which require certain persons to disclose their beneficial ownership of equity securities. These changes seek to improve the transparency and...
by David Schwartz J.D. CPA | Jan 11, 2023 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
In its recently updated regulatory flexibility agenda, the Securities and Exchange Commission has announced its regulatory priorities for 2023. A mix of old and new business, the Commission’s 2023 plans include finalizing 29 existing proposals and placing 23 new...
by David Schwartz J.D. CPA | Nov 27, 2022 | All, Change Overview and Rationale, Cross-Post, Formal Regulatory Remedies
Does meaningful proxy voting transparency reveal too much? On November 2, 2022, the Securities and Exchange Commission (SEC) finalized the first of its market data rule proposals. The amendments to form N-PX bring greater detail, consistency, and usability to the...
by David Schwartz J.D. CPA | Nov 16, 2022 | All, Change Overview and Rationale, Cross-Post
The Common Domain Model (CDM), the International Securities Lending Association’s (ISLA) ambitious securities lending standardization project, is a step closer to reality. And industry leaders already see opportunities for application. In a report jointly...
by David Schwartz J.D. CPA | Sep 29, 2022 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
In February of 2022, the Securities and Exchange Commission proposed new disclosures to provide more transparency into institutional investors’ short-selling activity. According to Chairman Gensler, collecting more granular data from large short sellers...
