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...
by David Schwartz J.D. CPA | Oct 12, 2021 | All, Cross-Post, Disclosure Regimes
The Securities and Exchange Commission issued a proposal to expand investment company disclosures of their proxy voting activities. If adopted, the rules would enhance the information mutual funds, exchange-traded funds, and other regulated investment companies are...
by David Schwartz J.D. CPA | Sep 19, 2017 | All, Change Overview and Rationale, Formal Regulatory Remedies
On February 23, 2017 House Financial Services Committee Chairman Rep. Jeb Hensarling (R-TX) and 33 GOP members of the Committee sent a letter to Federal Reserve Chair Janet Yellen requesting that the Fed “neither propose nor adopt any new rules until the U.S. Senate...
by David Schwartz J.D. CPA | Feb 27, 2017 | All, Change Overview and Rationale, Formal Regulatory Remedies
In a letter dated January 31, 2017, Vice Chairman of the House Financial Services Committee Rep. Patrick McHenry (R-NC) called on Federal Reserve Chair Janet Yellen to cease negotiating “binding” international financial regulatory standards in such forums...
by David Schwartz J.D. CPA | Jan 18, 2017 | All, Formal Regulatory Remedies
Republican control of Congress and the White House has put financial regulatory reform back on the legislative agenda. As an indication of Republicans’ preliminary plans, the Financial CHOICE Act (H.R. 5983), proposes a regulatory capital “off-ramp” for...
