With Gary Gensler sworn in as the chair of the Securities and Exchange Commission in April, the direction of the agency under his leadership is now beginning to take shape. This was especially clear during a House Financial Services Committee hearing Thursday on the unprecedented surge in social media induced meme stock trading this year. … READ MORE >
Securities and Exchange Commission
How regulatory oversight may change at five agencies under Biden
With President Joe Biden’s cabinet taking shape, regulated entities in the financial services industry like banks, specialty lenders and capital markets firms are starting to get a better picture of what changes might be in store. … READ MORE >
What registered investment advisers can expect from the SEC in a changed economy
Even as the coronavirus disrupts many conventions and traditions of the financial services industry, one regulatory ritual has continued, albeit in digital form: the Securities and Exchange Commission’s compliance examinations with registered investment advisers. … READ MORE >
SEC gives regulatory relief to certain business development companies
Continuing a recent push to ease regulations, the Securities and Exchange Commission recently adopted a final rule that loosens compliance requirements on business development companies, which invest in small and medium-size businesses. … READ MORE >