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Browse: Home / Rulemaking

Rulemaking

SEC & CFTC Could Write Rules for Crypto Markets – But Likely Won’t Anytime Soon

By Securities Docket on January 24, 2023, 9:24 am

Regulators are in no hurry to write rules for crypto. The Securities and Exchange Commission and Commodity Futures Trading Commission have brought a combined total of more than 100 enforcement actions against crypto-asset market participants. Yet, neither agency has issued a single crypto-specific rule, and it is unlikely that they will change course any time […]

Posted in SEC, Top | Tagged Cryptocurrency, Rulemaking

The SEC’s Rules Are Getting Unreal – WSJ

By Securities Docket on November 2, 2022, 8:40 am

The Securities and Exchange Commission’s job is to make markets work. But today’s SEC leadership—which as of August had proposed 26 new rules this year alone—is ignoring the real-world effects of its regulations on market participants. Its approach can be described as “regulation by hypothesis.” If not remedied, it will prove disastrous. Source: The SEC’s […]

Posted in SEC, Top | Tagged Rulemaking

SEC Considers Changes to Trump-Era Rules – WSJ

By Securities Docket on June 15, 2021, 9:37 am

Among the regulations that the SEC plans to revisit are amendments to its whistleblower award program and a rule requiring oil, gas and mining companies to disclose payments made to foreign governments. Both rules were passed late last year over opposition by the agency’s Democrats. The decision to revisit the rules is part of the […]

Posted in SEC, Top | Tagged Rulemaking

SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program

By Securities Docket on September 23, 2020, 3:33 pm

Among other enhancements, the amendments provide a mechanism for whistleblowers with potential awards of less than $5 million (which historically have represented nearly 75% of all whistleblower awards), subject to certain criteria, to qualify for a presumption that they will receive the maximum statutory award amount.  Other awards will continue to be evaluated consistent with […]

Posted in SEC, Top | Tagged Rulemaking, Whistleblowers

Trump’s SEC Makes Slow Progress on Trimming Rules – WSJ

By Securities Docket on February 27, 2018, 8:54 am

The SEC has signaled more gradual action aimed at streamlining regulations for the coming year. “Modernizing the rules without in any way taking away investor protection is the best thing that we can do,” Mr. Clayton told CFO Journal on the sidelines of the Practicing Law Institute’s “SEC Speaks” conference in Washington on Friday. The […]

Posted in SEC, Top | Tagged Rulemaking

SEC Commissioner Says New Rating Agency Rule Creates a ‘Thoughtcrime’ | Compliance Week

By Securities Docket on September 11, 2014, 4:20 pm

In a stinging dissent, SEC Commissioner Daniel Gallagher wrote late last month that a new SEC rule governing rating agencies has established a “thoughtcrime.” via SEC Commissioner Says New Rating Agency Rule Creates a ‘Thoughtcrime’ | Compliance Week

Posted in SEC, Top | Tagged Rating agencies, Rulemaking

US SEC’s lack of progress on reform rules frustrates officials – FT.com

By Securities Docket on May 28, 2014, 3:39 pm

While the SEC has issued numerous enforcement actions this year, the agency has made little progress on more than 40 rules on its 2014 agenda. Most of those rules stem from the 2010 Dodd-Frank financial reform legislation passed in reaction to the 2008 financial crisis, and the Jobs act, which makes it easier for smaller […]

Posted in SEC, Top | Tagged Rulemaking

Whistleblower brouhaha at SEC

By Securities Docket on May 20, 2011, 11:05 am

Interested parties on both side of issue threaten litigation or legislation.

Posted in SEC, Top | Tagged Rulemaking, Whistleblowers

SEC Delays Final Whistleblower Rules

SEC Delays Final Whistleblower Rules

By Securities Docket on April 28, 2011, 6:04 pm

SEC now says final rules expected in May-July 2011 timeframe.

Posted in SEC, Top | Tagged Rulemaking, Whistleblowers

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