CII in a December 9 letter urged the SEC to reject Nasdaq’s proposed rule change to adopt alternative listing requirements for special purpose acquisition companies (SPACs).
The SEC December 2 adopted final amendments to implement the disclosure and submission requirements for certain companies under the Holding Foreign Companies Accountable Act.
The SEC has proposed a rule to require lenders of stock and other securities to give the Financial Industry Regulatory Authority (FINRA) material information about each loan, including data on its timing, duration, venue of execution, rate or fee charged and collateral.
The SEC is scheduled to meet next week to consider proposals on several topics pertinent to CII members.
The House Financial Services Committee held a hearing December 9 to review the findings and recommendations of a report prepared by the majority staff of the committee entitled, “Diversity and Inclusion: Holding America’s Largest Investment Firms Accountable.”
Institutional Shareholder Services (ISS) December 7 published its new policy benchmarks which will go into effect beginning in February 2022.
The International Organization of Securities Commissions (IOSCO) late last month published a set of recommendations applicable to ESG ratings and data product providers.