The "kind of securities analysis that is central to making markets work—gathering pieces of information (none of which are both material and non-public) and putting ...
"Crypto may offer new ways for entrepreneurs to raise capital and for investors to trade, but we still need investor and market protection"
"If innovation is to thrive in a regulated space, regulation needs to leave room for experimentation, tinkering, and, yes, failure"
"Another area of challenges that new technologies present is in relation to the use of digital engagement practices, including predictive data analytics, behavioral prompts, differential ...
"The idea is that parties to the transaction shouldn’t use overly optimistic language or over-promise future results in an effort to sell investors on the ...
The de-SPAC stage "leaves shareholders vulnerable, and generally whether retail shareholders may be left holding the bag on an ill-advised or underperforming business after sponsors ...
"Today’s proposal does more than mandate disclosures that would enhance investor understanding. It imposes a set of substantive burdens that seems designed to damn, diminish, ...
The proposal would "bring some protections afforded to investors in traditional IPOs to de-SPACs"
"Many rely on broker-dealers and investment advisers to help them choose the investments, strategies, and accounts to meet their goals. It is important that investors ...
"Fund advisers do owe the funds they manage a fiduciary duty, which includes a duty of care and a duty of loyalty. The Commission can always ...