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Category: Rules & Regs

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CCO Liability Becomes Hot Topic in Compliance Circles

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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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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

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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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New California Laws May Set the Stage for Broader Climate Disclosure

Man pushing bike up a steep hill

California has long been on the leading edge of environmental regulation in the United States, and the Golden State recently passed new climate disclosure laws that are poised to push the rest of the country forward. Last week, Democratic G...

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