SEC’s Regulatory Agenda Makes ESG and Shareholder Democracy Key Priorities

The SEC’s new Regulatory Agenda includes:

Disclosure relating to climate risk, human capital, including workforce diversity and corporate board diversity, and cybersecurity risk

Market structure modernization within equity markets, treasury markets, and other fixed income markets

Transparency around stock buybacks, short sale disclosure, securities-based swaps ownership, and the stock loan market Investment fund rules, including money market funds, private funds, and ESG funds

10b5-1 affirmative defense provisions

Unfinished work directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, including, among other things, securities-based swaps and related rules, incentive-based compensation arrangements, and conflicts of interest in securitizations

Enhancing shareholder democracy

Special purpose acquisition companies

Mandated electronic filings and transfer agents

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