SEC’s White offers insight on 2016 priorities
In a wide-ranging conversation at Northwestern University, SEC Chairman Mary Jo White detailed her thoughts on a variety of topics, offering fresh perspective on agency priorities for the months ahead, including the ongoing disclosure effectiveness review, a new accredited investor definition, and the “clawback” rule for executive compensation.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
-
Basic PageSEC postpones compliance date for amendments to investment company names rule
Investment companies will have six additional months to comply with an update to the Securities and Exchange Commission rule aimed at making investment fund names more accurate.
-
News BriefFirm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.