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
Recent regulatory developments in the crypto asset and financial technology space suggest that US regulators may be shifting toward a more balanced approach — one that prioritizes clearer regulations while fostering...more
Key Points - - The SEC is set to undergo sweeping changes under the second Trump administration, with a Republican-controlled Commission setting a new agenda. - The agency is expected to focus on easing regulatory...more
Numerous countries are holding elections in 2024, but none are likely to have as far-reaching an impact at this year’s US Presidential election....more
In response to U.S. President Trump’s June 4 Memorandum calling for “firm, orderly action to end the Chinese practice of flouting American transparency requirements without negatively affecting American investors and...more
On August 6, 2020, the President’s Working Group on Financial Markets (“Working Group”) released its Report on Protecting United States Investors from Significant Risks from Chinese Companies (“Report”)....more
A Presidential memorandum was issued on June 4, 2020 calling for “firm, orderly action to end the Chinese practice of flouting American transparency requirements without negatively affecting American investors and financial...more
As the Securities and Exchange Commission (SEC) enters the third year of the Trump administration, its regulatory and enforcement goals remain largely unchanged. At the direction of Chairman Jay Clayton, the SEC continues to...more
The United States, Canada, and Mexico have reached an agreement to update the North American Free Trade Agreement (NAFTA) after more than a year of negotiations. Rebranded as the U.S.-Mexico-Canada Agreement, or USMCA, the...more
On September 30, 2018, the United States, Mexico and Canada announced they had reached an agreement to revamp the 24-year-old North American Free Trade Agreement (NAFTA), which now will be known as the United...more
The United States and Mexico reached a preliminary agreement on revisions to the North American Free Trade Agreement on Monday, ending months of political uncertainty and threats of harsh international trade policies between...more
One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity...more
In an unsurprising move, the Department of Labor (DOL) postponed the applicability date of the fiduciary rule on April 4 for an additional 60 days. The new applicability date for the rule is June 9, 2017, although the DOL...more
Earlier this month, the Department of Labor (DOL) proposed a 60-day delay of the April 10, 2017 effective date of its (much debated) fiduciary rule. The fiduciary rule – a vestige of the Obama Administration – was thought to...more