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Enforcement Guidance Financial Markets

Carlton Fields

One Fell Swoop: SEC Erases Ambitious Gensler-Era Rulemaking Agenda

Carlton Fields on

On June 12, 2025, the Securities and Exchange Commission issued a release announcing that it was withdrawing 14 notices of proposed rulemaking issued between March 2022 and November 2023 and stating that it “does not intend...more

Jones Day

The Impact of a Second Trump Presidency on SEC Enforcement Priorities

Jones Day on

A new presidential administration is likely to bring change across the federal government, perhaps nowhere more starkly than at the Securities and Exchange Commission ("SEC"), which has greatly expanded its enforcement reach...more

Mayer Brown Free Writings + Perspectives

SEC Chair Testifies on the Hill

Tuesday, Securities and Exchange Commission Chair, Jay Clayton, testified before the U.S. Senate Committee on Banking, Housing, and Urban Affairs.  In his last testimony, Chair Clayton confirmed his plans to conclude his...more

Polsinelli

SEC Signals Increased Investigation Activities in Light of COVID-19

Polsinelli on

While many businesses and government offices have closed or slowed as a result of the onset of COVID-19, the Securities and Exchange Commission remains open for business. On April 3, 2020, Sagar Teotia, the SEC’s Chief...more

K&L Gates LLP

GIPS Guidance Statement on Broadly Distributed Pooled Funds and Potential Impacts

K&L Gates LLP on

The CFA Institute recently released its Exposure Draft of the Guidance Statement on Broadly Distributed Pooled Funds (the “Proposed Guidance”) intended for firms that claim compliance with the Global Investment Performance...more

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