Commentary by Steven Lofchie
At an Investor Advisory Committee meeting, SEC Commissioner Allison Herren Lee recommended improving disclosures on environmental, social and governance data.
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Commentary by Steven Lofchie
The MSRB proposed amending its Electronic Municipal Market Access system to more prominently display the timing of annual financial disclosures.
SEC Chair Jay Clayton urged the Small Business Capital Formation Advisory Committee to consider ways to facilitate opportunities for "Main Street" investors and to support small businesses through private placements.
A broker-dealer settled FINRA charges that it failed to properly handle customer limit orders in OTC securities.
A group of fourteen trade associations urged the European Commission to grant an extension for the temporary equivalence for UK central counterparties until certain regulatory implementations have been made under EMIR 2.2 and until the European Securities and Markets Authority.