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On December 30, 2021, the SEC announced the appointments of Corey Frayer, Phil Havenstein, Jennifer Songer and Jorge Tenreiro to chair Gary Gensler’s executive staff.
On January 27, 2022, the SEC reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company's financial performance.
On January 26, 2022, the SEC proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade treasuries and other government securities under the regulatory umbrella.
On January 7, 2022, the SEC granted a review of the NYSE’s petition to review the Division of Trading & Market’s action that disapproved the proposed rule change to move oversight of the fee schedule for forwarding proxy and other materials to beneficial owners to FINRA.
FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials. FINRA updated their fee schedule to extend notice and access fees to fund shareholder reports (SEC Rule 30e-3) and excluded fee reimbursements for securities transferred by the member firm at no cost.
On December 21, 2021, the DOL released a Supplemental Statement clarifying a June 2020 Information Letter on private equity investments as a component of a professionally managed asset allocation fund offered as an investment option in participant-directed retirement savings plans, such as 401(k) plans.
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