News Topic: Securities and Exchange Commission

SEC Off-Channel Communications Sweep
May 25, 2023
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the financial services industry. On the ... Read full article
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SEC’s Proposed Conflicts of Interest Rule May Impede Hedging
Apr 14, 2023
Critics are warning that the SEC’s recently proposed rule (the “Proposed Rule”) prohibiting conflicts of interest in asset-backed securities (ABS) transactions may impede the ability of financial institutions, broker-dealers and others to enter into ... Read full article
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