Friday, October 23. 2020
XBRL US to Present October 28 Webinar: Standards for Regulators – Defining and Readying the Data Model
XBRL US recently announced that it will host a free 60-minute webinar on Wednesday, October 28, 2020 at 3:00 PM EDT, to discuss whether regulators can build an efficient, cost-effective data standards program that establishes a long-term infrastructure while allowing for rapid responses to changing reporting needs.
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Thursday, October 22. 2020
SEC to Host Virtual Panel with Women Entrepreneurs of Color on October 28th
On October 22, the SEC announced that it will host “Women of Color Entrepreneurs on Being Powerful Voices for Access to Capital” on October 28, 2020 at 7 p.m. ET. The virtual forum is a collaborative effort between the SEC’s Atlanta and Los Angeles Regional Offices, and the panel will be moderated by the SEC’s Office of the Advocate for Small Business Capital Formation.
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Wednesday, October 21. 2020
SEC Releases Agenda for October 26 Virtual Roundtable on Regulation Best Interest and Form CRS
On October 16th, the SEC announced the agenda and panelists for the Monday, October 26th roundtable which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA). The event will feature the two groups presenting panels discussing initial observations on Regulation Best Interest and Form CRS.
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Friday, October 16. 2020
SEC and CFTC to Host a Virtual Joint Open Meeting on October 22
The SEC and the Commodity Futures Trading Commission (CFTC) announced that their agencies will be partnering to host a virtual open meeting on Thursday, October 22, 2020, at 10:00 am EDT.
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Monday, October 12. 2020
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
On October 7th, the SEC announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers. It will now take place on November 19, 2020. The compliance program is aimed at helping chief compliance officers (CCOs) and other senior personnel at investment companies and investment advisory firms improve their compliance programs for the protection of investors.
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Friday, October 02. 2020
SEC to Host October 26 Virtual Roundtable on Regulation Best Interest and Form CRS
On September 28th, the SEC announced that it will host an event on October 26th from 1:00 to 3:00 pm ET, which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA) for a roundtable that was announced in an earlier statement by the Staff Standards of Conduct Implementation Committee. The two groups will discuss initial observations following the June 30, 2020 compliance date for Regulation Best Interest and Form CRS.
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