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 | 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 | Mar 19, 2022 | All, Change Overview and Rationale, Cross-Post, Formal Regulatory Remedies
On Friday, February 25, 2022, the Securities and Exchange Commission (SEC) proposed its latest round of GameStop rule proposals. In addition to enhanced public disclosures of short sales by institutional investors, the Commission announced a 30-day extension of the...
by David Schwartz J.D. CPA | Jan 21, 2022 | All, Cross-Post, Disclosure Regimes
The Securities and Exchange Commission’s (SEC) securities lending disclosure proposal has drawn sharp rebuke from both securities lenders and borrowers. Lending principals criticized the proposal on everything from cost, lack of clarity, and overbroad scope to...
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...
