A FINRA proposal to extend a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892 was published in the Federal Register.
News & Insights
On a London Stock Exchange Investor Group webinar, SEC Commissioner Allison Herren Lee highlighted the SEC's role within a "whole-of-government" approach to combating the risks associated with climate change, including enhanced disclosures to inform markets and policymaking.
At a DOJ Cybersecurity Roundtable, Deputy Attorney General Lisa O. Monaco highlighted the national security threats posed by cyber attacks. She underscored the necessity of greater cooperation between the DOJ and private industry.
The SEC's reopened comment period for a 2015 proposal that would establish listing standards for clawback policies of erroneously awarded compensation was published in the Federal Register.
At DC Fintech Week, SEC Chair Gary Gensler raised concerns about how financial technology, specifically machine learning, artificial intelligence, and crypto, disrupts traditional business models.