The SEC Division of Corporation Finance issued guidance on Division activities in the event of a government shutdown.
News & Insights
The NFA submitted to the CFTC proposed changes to bylaws related to the qualifications for public directors on the NFA's Board.
In an address before the Council of Institutional Investors, SEC Commissioner Mark T. Uyeda underscored the importance of adhering to statutory limits in the exercise of administrative power and enforcement, and called for a regulatory framework that provides clear, predictable guidelines for market participants.
The SEC named Natasha Vij Greiner incoming Director of the Division of Investment Management. Current Director William Birdthistle will step down on March 8, 2024.
In yesterday's newsletter, we identified two CFTC Advisories as newly updated guidance on cooperation that can affect civil monetary penalties in enforcement actions. The updates are current, but they are not new.