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Securities and Exchange Commission (SEC) › Initial Public Offering (IPO) › Retail Investors

Cooley LLP

Acting SEC Chair advocates “cost-effective regulations for every stage of a company’s lifecycle”

Cooley LLP on

Yesterday, Acting SEC Chair Mark Uyeda delivered remarks to the Florida Bar’s 41st Annual Federal Securities Institute and M&A Conference focused on regulatory efforts affecting every stage of a company’s lifecycle. Setting...more

Cooley LLP

Blog: SEC Chair Clayton talks about SPACs, ESG and other topics at Financial Advisor Summit

Cooley LLP on

Tuesday, at the CNBC Financial Advisor Summit, SEC Chair Jay Clayton was interviewed by CNBC’s Bob Pisani, touching on a variety of issues, including SPACs, proposed changes to Form 13F, ESG ratings and investing, emerging...more

McGuireWoods LLP

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

McGuireWoods LLP on

FINRA’s examination program has undergone its most significant reorganization in decades. As stated in a press release, Oct. 1, 2018, FINRA’s goal for the reorganization was to “consolidate its Examination and Risk Monitoring...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2019 Insights: SEC Continues Steady Progress With Regulatory, Enforcement Goals

Skadden, Arps, Slate, Meagher & Flom LLP on

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

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