Harvard Corporate Governance

AUGUST 24, 2023

Congress also gave the Commission specific new authorities under the Investment Advisers Act of 1940 to prohibit or restrict advisers’ sales practices, conflicts, and compensation schemes. [1] In the Dodd-Frank Act of 2010, Congress effectively required most private fund advisers to register with the Securities and Exchange Commission.

Corporate Finance 189

Corporate Finance Marketability Compliance Finance 189

Reynolds Holding

FEBRUARY 16, 2023

I support this proposal because, in using important authorities Congress granted us after the financial crisis, it would help ensure that advisers don’t inappropriately use, lose, or abuse investors’ assets. Importantly, though, Congress granted us new authorities in 2010 in response to the financial crisis and Bernie Madoff’s frauds.

Compliance 45

Compliance Technology 45

Reynolds Holding

AUGUST 23, 2023

Congress also gave the Commission specific new authorities under the Investment Advisers Act of 1940 to prohibit or restrict advisers’ sales practices, conflicts, and compensation schemes. [1] In the Dodd-Frank Act of 2010, Congress effectively required most private fund advisers to register with the Securities and Exchange Commission.

Corporate Finance 40

Corporate Finance Marketability Compliance Finance 40

Reynolds Holding

JUNE 16, 2022

The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. Fourth, we explain why claims that the SEC lacks authority to mandate public-company climate-change disclosures are unwarranted.

Corporate Finance 52

Corporate Finance Finance Compliance Marketability 52