Search for: "Caroline A. Crenshaw"
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13 Feb 2023, 7:28 am
Wagner began questioning the panel of witnesses by citing a recent speech by SEC Commissioner Caroline Crenshaw while asking whether it is easier or more difficult for businesses to raise money. [read post]
2 Feb 2023, 4:30 am
Earlier this week at the Northwestern Pritzker School of Law’s Securities Regulation Institute, SEC Commissioner Caroline Crenshaw delivered the Alan B. [read post]
1 Feb 2023, 9:01 pm
Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. [read post]
1 Feb 2023, 6:30 am
By Suzanne CosgroveOver the past decades, private securities offerings have grown at a significantly faster rate than public offerings, a growth that has been facilitated by Reg D and other legal mechanisms, noted SEC Commissioner Caroline Crenshaw. [read post]
4 Nov 2022, 6:30 am
Crenshaw, U.S. [read post]
3 Nov 2022, 6:31 am
“The Commission’s flaw is hubris—thinking we can redesign open-end funds to eliminate their purported flaws has only revealed our own,” said Peirce.Commissioner Mark Uyeda likewise voted against issuance of the proposal, citing the proposed amendments as a way to hasten investors’ move out of open-end mutual funds and into ETFs and distinguishing the use of swing pricing in Europe as being unique to that region’s markets.According to Commissioner Caroline… [read post]
1 Nov 2022, 6:32 am
Posted by Caroline A. [read post]
27 Oct 2022, 5:39 am
As Commissioner Caroline Crenshaw explained, the reports will include a simplified expense table, more concise Management Discussion of Fund Performance, additional performance-related data, fund statistics, and a graphical representation of categories of portfolio holdings. [read post]
25 Oct 2022, 9:03 pm
In response, SEC Commissioners Allison Herren Lee and Caroline A. [read post]
25 Oct 2022, 10:18 am
"The daily rebalancing and effects of compounding may cause returns to diverge quite substantially from the performance of the, in this case, one underlying stock, especially if these products are held over multiple days or more," said SEC Commissioner Caroline Crenshaw. [read post]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
2 Sep 2022, 6:30 am
Crenshaw, U.S. [read post]
27 Aug 2022, 6:31 am
Posted by Caroline A. [read post]
27 Aug 2022, 6:31 am
Posted by Caroline A. [read post]
14 Jul 2022, 5:23 am
Lori Schock, Director of the Office of Investor Education and Advocacy, and Commissioner Caroline Crenshaw warned that holding a levered and/or inverse single-stock ETF is much riskier than holding the underlying stock, a traditional ETF, or even a non-single stock levered and/or inverse ETF.Single-stock ETFs provide leveraged, inverse or complex exposure to a single security rather than a portfolio of multiple securities as with typical ETFs. [read post]
22 Jun 2022, 3:15 am
Here’s an excerpt from Cydney Posner’s recent blog: While the proposed requirement to disclose material Scope 3 greenhouse gas emissions seems to be one of the most contentious—if not the most contentious—element of the SEC’s climate disclosure proposal (see this PubCo post and this PubCo post), two of the SEC’s Democratic Commissioners, Allison Herren Lee and Caroline Crenshaw, told Bloomberg that they think it still doesn’t go far enough.… [read post]
15 Jun 2022, 9:32 pm
It was accompanied by statements from SEC Chair Gary Gensler and Commissioner Caroline Crenshaw that highlight the growing influence of index providers and model portfolio providers. [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
