PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
Investor Protection for ESG Investing and Complex Products
The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more
On February 6, 2025, the SEC announced that it was providing a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act of 1934 (the “Exchange Act”), which establishes a mandatory short reporting...more
Once upon a time, in 1994, when I was a young lawyer in the SEC’s Division of Investment Management (Division), Office of Chief Counsel, we received a request to modify a previously granted but totally impractical no-action...more
Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019. Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships - On...more