PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
Investor Protection for ESG Investing and Complex Products
On March 12, 2025, the Securities and Exchange Commission (SEC) published updates to its Compliance and Disclosure Interpretations (C&DIs) related to exempt offerings under the Securities Act of 1933 (Securities Act). These...more
The Acting SEC Chairman announced regulatory priorities designed to help companies raise capital, widen investment options available to retail investors, and reduce regulatory burdens on smaller public companies....more
The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more
As we previously posted, the Securities and Exchange Commission held an open meeting this morning to consider and vote on whether to adopt final rules regarding SPAC IPOs and business combinations (de-SPAC transactions). ...more
The Ontario Securities Commission (“OSC”) and Ernst & Young LLP recently published Artificial Intelligence in Capital Markets: Exploring Use Cases in Ontario (the “Report”), which examines current artificial intelligence...more
The amendments aim to modernize the Names Rule and promote investor protection objectives by ensuring that a fund’s portfolio of holdings aligns with its name. The US Securities and Exchange Commission (the SEC or the...more
On November 23, 2022, the SEC released its strategic plan for fiscal years 2022 to 2026. The plan focuses on three goals: protect the investing public against fraud, manipulation, and misconduct; develop and implement a...more
We believe our proposed changes support all market participants' common objectives of investor protection and fair and efficient capital markets. ...more