The SEC’s Investor Advisory Committee will hold an open meeting via webcast on sec.gov that will take place on Thursday, June 6, 2024 at 10:00 a.m. ET. The meeting is free and open for the public to attend. The meeting will cover committee matters, including subcommittee reports and approval of previous meeting minutes. {expires: 2024-06-07} Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

The SEC will be closed Monday, May 27th in observance of Memorial Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of May 27th will be due the following business day. The FERC will also be closed in observation of Memorial Day. eForms will accept filings submitted on May 27th. {expires: 2024-05-28} Continue reading "Memorial Day" »

The SEC has announced that it has adopted enhancements to Regulation S-P, the regulation protecting the privacy of consumer financial information. Accepted on May 16th, the changes will require covered institutions (broker-dealers, investment companies, registered investment advisers, and transfer agents) to keep affected individuals apprised of certain types of data breaches that may put them at risk. Continue reading "SEC Approves Revisions to Regulation S-P to..." »

FERC staff will hold the monthly open meeting via webcast on ferc.gov on Thursday, May 23, 2024, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2024-05-24} Continue reading "FERC to Hold Open Commission Meeting" »

On May 15th, the SEC’s Division of Investment Management Analytics Office issued a new report of Investment Adviser Statistics, which is based on compiled data filed by investment advisers on Form ADV, the form used by investment advisers to register with both the SEC and state securities authorities. The publication, which shows trends over time, will be updated annually. It is designed to provide the public with insight into the investment advisory industry as well as areas such as client composition, business activities, and the types of funds advised. Continue reading "SEC Staff Releases Latest Investment Adviser..." »

On May 13th, the SEC, in conjunction with the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN), proposed new rulemaking under which SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) would be required to establish, document, and maintain written customer identification programs (CIPs) appropriate for their respective sizes and businesses. The new rule is intended to prevent illicit finance activity concerning the customers of investment advisers by enhancing the anti-money laundering and countering the financing of terrorism (AML/CFT) framework for the investment adviser sector. Continue reading "SEC, FinCEN Propose Customer Identification..." »

Novaworks will host a free webinar geared toward investors, state and local governments and other market participants to delve into the changes that are coming with the Financial Data Transparency Act (FDTA). This hour-long webinar will be offered on the first Tuesday of every month, beginning May 7th. When registering, attendees simply choose the date and time that works best. Continue reading "Novaworks Offers Webinar: Exploring the Impact..." »

The SEC’s Division of Investment Management Analytics Office has released a new report of Registered Fund Statistics, which will provide significant industry data and information on trends over time. The report is based on compiled data reported on Form N-PORT by funds registered with the SEC and designed for a wide range of users. The new report is intended to provide the public with a consistent and comprehensive view into the registered funds industry, which is comprised of more than 12,000 funds and greater than $26 trillion in total net assets under management. The Division will update this report quarterly. Continue reading "SEC Staff Issues New Report of Registered Fund..." »

The SEC’s Division of Examinations has released a Risk Alert, sharing initial observations from examinations of investment advisers’ compliance with the Marketing Rule, on which the Division will continue to place emphasis. Continue reading "SEC Issues Risk Alert Regarding Advisers Act..." »

The FERC will hold its monthly open meeting via webcast on ferc.gov on Monday, May 13, 2024, at 11:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2024-05-14} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »

The SEC’s Division of Investment Management has announced its second annual Conference on Emerging Trends in Asset Management, which will bring together academics, asset management industry participants, and regulators. The remote conference will take place on Thursday, May 16, 2024, from 9:00 a.m. to 5:00 p.m. ET. The event is free and open to the public via live webcast on sec.gov. Registration for the conference will be open through Tuesday, May 14, 2024. {expires: 2024-05-17} Continue reading "SEC to Hold Second Annual Conference on..." »

The FERC will hold its monthly open meeting via webcast on ferc.gov on Thursday, April 25, 2024, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2024-04-26} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »

On April 17th, the SEC announced that, effective May 22, 2024, fee rates applicable to most securities transactions will be set at $27.80 per million dollars. The assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction. These adjustments do not directly affect the amount of funding available to the SEC. Continue reading "SEC Issues Second Fee Rate Advisory for Fiscal..." »