"One significant concern relates to the potential for the SEC to adopt final complex rules with compliance dates in close proximity to each other"
"If the U.S. Treasury as an issuer were actually to default, it would have very significant, hard to predict, and likely lasting effects on investors, ...
"We also have a role as a cop on the beat. We recently charged four underwriters for disclosure-related violations while offering municipal bonds"
"Investment advisers and broker-dealers that recommend these products must ensure that they are in the client’s or customer’s best interest"
"Economic analysis is critical to all we do at this agency. It informs our policy and rulemaking. It is critical to our enforcement work. It ...
"I think that this final rule—through the greater visibility into private funds it will provide to regulators—will help protect investors and promote financial stability"
The Changing Nature of Form PF: Statement on Amendments to Form PF Commissioner Hester Peirce May 3, 2023 Thank you, Chair Gensler. This expansion of ...
"Our interconnected world and financial markets mean that events that benefit or stress one financial institution may impact affiliates, counterparties, competitors, joint venture partners, peers, ...
The "Commission now seeks to expand Form PF to serve as a fishing expedition on private funds, the costs of which will be passed on ...
"Today’s amendments will enhance the Commission’s and the FSOC’s ability to assess these potential risks. Form PF will now require more timely reporting of events ...