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Category: Rules & Regs

Boy pouting

A Rulemaking Process for the Rest of Us

Boy pouting

Festivus came early this year for Mark Uyeda. In public appearances earlier this month, the Republican-appointed commissioner of the Securities and Exchange Commission aired his grievances with the agency’s rulemaking process. (Observers of...

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CCO Liability Becomes Hot Topic in Compliance Circles

Red hot charcoal burning

Speaking at a New York City Bar Association event last month, the director of the Securities and Exchange Commission Division of Enforcement opened his remarks with a warning about the eroding levels of public trust in institutions across t...

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Gensler Warns Big Business About Pitfalls of Spiking Climate Disclosure Rules

French bulldog in red Halloween headband

Securities and Exchange Commission Chair Gary Gensler has apparently decided to go as the Devil You Know for Halloween this year. Gensler donned his costume – in a metaphorical sense, of course – last week when speaking about the SEC’s prop...

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Vintage 1970s peacock pattern in orange, olive green and gold

SEC Adopts Rules for Speedier 13D Disclosures to Keep Pace with Modern Market

Vintage 1970s peacock pattern in orange, olive green and gold

The popular culture of the 1970s was awash in flared jeans and wide lapels. And in the world of finance, the decade also saw the first rules regarding beneficial ownership reporting go into effect.  Though technology made the world faster a...

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Senate Bill Sparks Hope in Cannabis Industry for Access to Banking

Magnified image of marijuana buds

A legal, billion-dollar industry in which companies can’t get a basic checking account. It sounds absurd, but that’s life for cannabis businesses. Even though marijuana is currently legal for recreational or medical use in 39 states, most b...

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