- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Amid a fierce debate among commissioners, the SEC’s Division of Corporation Finance has issued guidance on how and when waivers will be granted for companies that face disqualification from registration exemptions when raising capital. Determinations will include whether the misconduct was isolated, company leadership was involved, and training and remediation ...
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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.”
