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. Continue reading "XBRL US to Present October 28 Webinar:..." »
Posted by
The Novaworks Team
in Events, FERC, FERC Filing Help, Filing Technology, XBRL at 09:45

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. Continue reading "SEC to Host Virtual Panel with Women..." »
Posted by
The Novaworks Team
in Events, SEC at 17:00

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. Continue reading "SEC Releases Agenda for October 26 Virtual..." »
Posted by
The Novaworks Team
in Events, SEC at 09:34

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. Continue reading "SEC and CFTC to Host a Virtual Joint Open..." »
Posted by
The Novaworks Team
in Events, SEC at 17:30

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. Continue reading "SEC to Host Virtual National Compliance..." »
Posted by
The Novaworks Team
in Events, Investment Management, SEC at 10:50

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. Continue reading "SEC to Host October 26 Virtual Roundtable on..." »
Posted by
The Novaworks Team
in Events, SEC at 15:33
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