Commentary by Steven Lofchie
At a meeting of the SEC Small Business Capital Formation Advisory Committee, SEC Commissioners considered the implications for retail investors of shifting trends in companies' pathways to going public.
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Commentary by Steven Lofchie
In comments submitted to the Basel Committee on Banking Supervision addressing a consultation on the “prudential treatment of cryptoasset exposures,” SIFMA emphasized the need for prompt action that balances "innovation, growth and regulatory conservatism."
In a report submitted to Congress, the SEC Office of the Advocate for Small Business Capital Formation summarized policy recommendations made by participants at the SEC's 40th Annual Small Business Forum.
A pair of affiliated swap dealers settled CFTC charges for Legal Entity Identifier reporting failures and related supervisory matters.
FINRA proposed establishing administrative and delivery fees for the new Municipal Advisor Principal Examination.