The SEC named Erik Gerding as the new Division of Corporation Finance Deputy Director of Legal and Regulatory Policy. Mr. Gerding will assume the role on October 4, 2021.
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Subsidiaries of a Dutch oilfield services company settled potential civil liability with OFAC for apparent violations of Ukraine-related and Sudanese sanctions regulations.
The SEC awarded approximately $36 million to a whistleblower for assisting SEC staff and furnishing information in connection with an enforcement action, but denied two other claimants.
At a meeting of the SEC Small Business Capital Formation Advisory Committee, SEC Commissioners considered the implications for retail investors of shifting trends in companies' pathways to going public.
In comments submitted to the Basel Committee on Banking Supervision addressing a consultation on the “prudential treatment of cryptoasset exposures,” SIFMA emphasized the need for prompt action that balances "innovation, growth and regulatory conservatism."