- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: For more than a year, the SEC has been divided over the use of waivers that allow firms to engage in capital-raising activities despite an enforcement action. For the first time, SEC Chairman Mary Jo White has entered the fray. Waivers should not be wielded as an enforcement tool, ...
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The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
Top officials at the SEC shared their agendas and future priorities at the recent SEC Speaks conference. Chairman Jay Clayton gave “a look at the SEC through the eyes of management,” and Commissioner Elad Roisman spoke of “encouraging smaller entrants to capital markets.”
