Carl Ayers

Richmond

Publisher at Regulatory Compliance Watch

None at PEI Media

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Articles

You’re on notice: Exams and Reg S-P

2 weeks ago | regcompliancewatch.com | Carl Ayers

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready
SEC Commissioner Crenshaw decries the dismissal of crypto lawsuits

2 weeks ago | regcompliancewatch.com | Carl Ayers

"They ignore the laws enacted by Congress – namely fundamental registration requirements of the federal securities laws – as well as long lines of judicial precedent. And they harm investors, businesses, and the capital markets"
Congress and accredited investors

2 weeks ago | regcompliancewatch.com | Carl Ayers

"Meaningfully expanding the pool of accredited investors while preserving appropriate investor protections would help democratize access to investment opportunities and foster capital formation, ensuring that a broader demographic can partake in the financial growth and innovation our country offers"
SEC Chairman Atkins testifies before Congress

2 weeks ago | regcompliancewatch.com | Carl Ayers

"How we implement regulations at the SEC is crucial; it is one thing to write a regulation, quite another for it to achieve its intended goal. Regulation should be smart, effective, and appropriately tailored within the confines of our statutory authority"
SEC Commissioner Peirce advocates for rules to aid crypto

2 weeks ago | regcompliancewatch.com | Carl Ayers

"Crypto is not the most critical issue for the Commission, but it is important—even for those of you who see no value or worse in anything bearing the 'crypto' label"
SEC Commissioner Crenshaw worries changes at the Commission won't end well

2 weeks ago | regcompliancewatch.com | Carl Ayers

SEC Commissioner Crenshaw worries changes at the Commission won’t end well"I worry, as we all should, that those losing the most won’t be the influential, monied interests; rather, it will be the Main Street Americans – the investors and small business owners who can least afford the greatest loss"
SEC Commissioner Uyeda notes changes by the Commission

2 weeks ago | regcompliancewatch.com | Carl Ayers

SEC Commissioner Uyeda notes changes by the Commission"Since January, the Commission has undergone a major course-correction. Instead of tackling various perceived social ills through financial regulatory tools, the SEC has returned to its core mission of regulating the capital markets"
SEC Corp Fin 'no-action' letter around P&Ps for securitization

2 weeks ago | regcompliancewatch.com | Carl Ayers

The relief hinges on the securitization participant maintaining written policies and procedures designed to meet four conditions
SEC Chairman Atkins gives insight into his view of the Commission's role

2 weeks ago | regcompliancewatch.com | Carl Ayers

SEC Chairman Atkins gives insight into his view of the Commission’s role"The SEC, in its regulatory capacity, is tasked to balance investor protection with promoting capital formation and market efficiency. In years past, the Commission has unfortunately demonstrated a tendency to prioritize regulatory expansion over meticulous economic analysis, potentially jeopardizing this delicate balance"
SEC Chairman Atkins envisions a new day at the Commission

2 weeks ago | regcompliancewatch.com | Carl Ayers

SEC Chairman Atkins envisions a new day at the Commission"It is a new day at the SEC. While I have directed Commission staff across our policy Divisions to begin drafting rule proposals related to crypto, the staff continue to “clear the brush” through staff-level statements"