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 20, 2021 | All, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
On November 18, 2021, the Securities and Exchange Commission (SEC) proposed broad disclosure rules intended to “provide transparency in the securities lending market.” As directed by the Dodd-Frank Act[1], the Commission proposed these rules to: Supplement...
by David Schwartz J.D. CPA | Jan 19, 2012 | All, Formal Regulatory Remedies
The Chairman of the CFTC, Gary Gensler, testified before the Senate Committee on Banking, Housing and Urban Affairs on May 22 on the progress of his agency’s regulatory reform of swaps. Gensler’s testimony included details on the CFTC’s plans for...
