SEC publishes 5-year strategic plan
Plan calls for a focus on protecting the public against fraud, implementing robust regulations, and supporting a skilled and diverse workforce.
SEC regulatory compliance & reporting
New year, new challenges: Preparing for sustainability disclosures
Those on the front line of the sustainability reporting landscape share what’s to come in 2023 and what accounting professionals need to know to prepare.
SEC adopts two rules, proposes a third
Adopted rules aim to ensure that company executives return erroneously awarded compensation and that mutual fund investors receive transparent information. A proposed rule adds to investment advisers’ responsibility to their clients.
SEC modernizes recordkeeping rules
Amendments adopted Wednesday provide broker-dealers more flexibility when it comes to how they store electronic records.
SEC reopens public comment periods due to technological error
Anyone who commented on the SEC’s last 12 rulemaking releases is encouraged to make sure their comments were received.
SEC proposes new regulations for US Treasury market clearinghouses
SEC Chair Gary Gensler says that proposed changes to the Exchange Act Rule of 1975 would “reduce risk across a vital part of our capital markets.”
SEC chair seeks increased regulation of cryptoassets
SEC Chair Gary Gensler calls for cryptoasset entities to register under current securities laws and suggests that more legislation to support regulation could be on the way.
SEC adopts ‘pay versus performance’ disclosure rules
Amendments will require public companies to disclose details about the relationship between executive compensation and financial performance.
SEC releases draft of 5-year strategic plan
The SEC aims to update its disclosure framework and upgrade its protection measures and its workforce in order to uphold its oversight of capital markets.
AICPA publishes Q&A to explain SEC guidance on cryptoassets
The AICPA has published a set of questions and answers that explains recently released SEC staff guidance regarding the accounting for entities that have obligations to safeguard cryptoassets held for their platform users.
SEC announces updates to electronic filing requirements
The SEC said it has adopted amendments to require the electronic filing or submission of certain documents that currently are permitted to be filed or submitted in paper format.
SEC proposes enhanced disclosures related to ESG
The SEC proposed amendments to rules and reporting forms to promote consistent, comparable and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social and governance factors.
SEC extends comment period on climate-related disclosure proposal
The SEC announced an extension in the public comment period for its proposal on climate-related disclosure requirements.
Climate change: What the SEC proposal means for companies, auditors
The SEC's recently issued climate change disclosure proposal would require companies to embrace a comprehensive, sophisticated approach to climate reporting.
SPACs would face new disclosure requirements under SEC proposal
The SEC proposed rules that are intended to provide investors with more information and protection in initial public offerings by special purpose acquisition companies.
SEC seeks to regulate principal trading firms
The SEC proposed new rules Monday that would require certain entities, most notably principal trading firms, to register with the Commission and to comply with federal securities laws and regulatory obligations.
New SEC proposal would ramp up climate-change disclosures
Public companies would be required to disclose climate-related risks and financial statement metrics under a much-awaited proposal issued by the SEC.
SEC set to discuss staff climate change proposal
The Securities and Exchange Commission will meet Monday to discuss a staff proposal designed to improve and standardize companies’ climate change disclosures for investors.
SEC proposes new rules for cybersecurity reporting
Public companies would be required to provide investors with enhanced and standardized information about their cybersecurity practices under a new rule proposed Wednesday by the Securities and Exchange Commission.
SEC seeks more disclosures of short-sale data
The Securities and Exchange Commission voted to require certain institutional investment managers to report short sale-related information each month. The SEC then would make aggregate data about large short positions, including daily short-sale activity data, available to the public for each individual security.
