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Friday, April 07. 2023

SEC Offers Free Investor Education Resources During Financial Capability Month

On April 3rd, the SEC’s Office of Investor Education and Advocacy (OIEA) announced that the theme for April’s National Financial Capability Month is “Investing For Everyone”. Throughout April, SEC leadership and staff will promote free tools and resources that will be available on investor.gov. The staff will also take part in investor education events nationwide that are geared toward students, underrepresented communities, older investors, and the military. Continue reading "SEC Offers Free Investor Education Resources..." »

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in Events, Investment Management, Investor Education, SEC at 09:59

Thursday, March 16. 2023

SEC Proposes New Requirements to Mitigate Cybersecurity Risks to the US Securities Markets

On March 15th, the SEC proposed a new rule and form as well as amendments to current recordkeeping rules that would strengthen the SEC’s ability to obtain data concerning significant cybersecurity incidents that affect market entities. The SEC is also proposing new rules regarding public disclosure requirements for covered entities that are intended to enhance transparency about the cybersecurity risks that may negatively impact the US securities markets. These disclosures would be in a structured data format. Continue reading "SEC Proposes New Requirements to Mitigate..." »

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in Investor Education, SEC at 17:55

SEC Reopens Comment Period for Cybersecurity Risk Management Rule Proposal, Amendments for Registered Investment Advisers and Funds

On March 15th, the SEC reopened the comment period for proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies, and business development companies. The rules and amendments were initially proposed by the SEC on February 9, 2022, with a comment period that ended on April 11, 2022. Continue reading "SEC Reopens Comment Period for Cybersecurity..." »

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in Information Technology, Investor Education, SEC at 08:55

Wednesday, March 15. 2023

SEC Proposes Revisions to Regulation S-P to Improve Protection of Consumer Information

On March 15th, the SEC proposed enhancements to Regulation S-P, the regulation which protects the privacy of consumer financial information. The proposed changes would 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 Proposes Revisions to Regulation S-P to..." »

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in Investor Education, SEC at 15:08

Wednesday, March 08. 2023

FERC Adopts New Extreme Cold Weather Reliability Standards

The FERC has adopted two new extreme cold weather reliability standards intended to implement key recommendations from the joint inquiry into 2021’s Winter Storm Uri to prevent severe power outages like those that affected millions of customers in Texas and the South Central states. Continue reading "FERC Adopts New Extreme Cold Weather..." »

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in FERC, Investor Education at 17:03

SEC Updates PAUSE List of Firms Using Misleading Information to Solicit Investors

On March 7th, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors. This update includes 96 soliciting entities, three impersonators of real firms, and five bogus regulators. Continue reading "SEC Updates PAUSE List of Firms Using..." »

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in Investor Education, SEC at 08:20

Monday, February 27. 2023

SEC Proposes Amendments to Enhance Safeguarding for Registered Investment Advisers

The SEC has proposed new rule changes under the Investment Advisers Act of 1940, under which investment advisers are regulated. The changes are designed to improve protections of investor assets managed by investment advisers registered with the SEC. Pursuant to the act, the proposed new safeguarding rule would also revise and renumber current custody rule 206(4)-2. Additionally, the SEC is proposing amendments to the recordkeeping rule under the Act and to Form ADV for investment adviser registration under the Act.

Continue reading "SEC Proposes Amendments to Enhance Safeguarding..." »

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in Investor Education, SEC at 15:15

SEC Staff to Hold Investor Advisory Committee Meeting

The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Thursday, March 2, 2023, at 10:00 a.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

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in Events, Investor Education, SEC at 12:54

Friday, February 24. 2023

SEC Adopts Rules to Reduce Risks in Clearance and Settlement

The SEC has adopted final rules related to the duration of the standard settlement cycle for most broker-dealer transactions, as well as the processing of institutional trades by broker-dealers and certain clearing agencies. Additionally, the SEC is amending certain recordkeeping requirements applicable to registered investment advisers. Continue reading "SEC Adopts Rules to Reduce Risks in Clearance..." »

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in Investor Education, SEC at 11:33

Friday, February 10. 2023

SEC’s Division of Examinations Releases 2023 Priorities

On February 7th, SEC’s Division of Examinations issued its 2023 examination priorities, the publication that  details the Division’s risk-based approach, including the areas it believes may present possible risks to the integrity of the US capital markets and investors. When compiling the examination priorities, the Division is guided by its objectives to promote and improve compliance, prevent fraud, monitor risks, and inform policy. Continue reading "SEC’s Division of Examinations Releases 2023..." »

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in Investor Education, SEC at 13:29

SEC’s Division of Investment Management and Division of Trading and Markets to Hold Open Meeting

SEC staff in the Division of Investment Management and the Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address the topics of Shortening the Settlement Cycle and Safeguarding Advisory Client Assets. The meeting will take place on Wednesday, February 15, 2023, at 10:00 a.m. ET and is free and open for the public to attend. Continue reading "SEC’s Division of Investment Management and..." »

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in Events, Investor Education, SEC at 08:36

Wednesday, February 08. 2023

GASB Introduces Proposed Guidance to Facilitate Application of Subscription-based Information Technology Arrangements

On February 6th, the Governmental Accounting Standards Board (GASB) released proposed implementation guidance that would expound on existing guidance related to subscription-based information technology arrangements (SBITAs). The Exposure Draft, Additional Proposal for Implementation Guidance Update—2023, focuses on whether the definition of a cloud computing arrangement is comparable to that of an SBITA, as defined in GASB Statement No. 96, Subscription-Based Information Technology Arrangements. Continue reading "GASB Introduces Proposed Guidance to Facilitate..." »

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in Accounting, GASB News, Investor Education at 09:04

Tuesday, January 31. 2023

SEC Proposes Revisions to Ethics Rules Regulating Securities Trading by Employees, Solicits Feedback

On January 30th, the SEC, in conjunction with the Office of Government Ethics, proposed amendments to the SEC’s ethics rules to enhance, revise and improve the overall efficacy of the agency’s ethics compliance program. More specifically, the proposed amendments would add new requirements and prohibitions to the existing program, which includes particularly strict ethics requirements within the executive branch for all SEC employees and their immediate families. Continue reading "SEC Proposes Revisions to Ethics Rules..." »

Posted by

in Investor Education, SEC at 07:00

Thursday, December 08. 2022

Financial Accounting Foundation Releases New Strategic Plan

The Board of Trustees of the Financial Accounting Foundation (FAF) has released the final version of its new strategic plan. The FAF is the organization that oversees the Financial Accounting Standards Board (FASB) and the Governmental Accounting Standards Board (GASB). Because stakeholder feedback is the foundation of the organization’s work, the new strategic plan is based on extensive engagement with stakeholders via comment letters, an online survey, and a number of individual interviews. Continue reading "Financial Accounting Foundation Releases New..." »

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in Accounting, FASB News, Investor Education at 08:25

Thursday, December 01. 2022

SEC Finalizes Strategic Plan for Fiscal Years 2022-2026

On November 23rd, the SEC published its Strategic Plan for fiscal years 2022 to 2026 in accordance with the Government Performance and Results Modernization Act of 2010 (Act). Under the Act federal agencies are required to outline their missions, planned initiatives, and strategic goals for a period of four years. Continue reading "SEC Finalizes Strategic Plan for Fiscal Years..." »

Posted by

in Investor Education, SEC at 09:40

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