The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Thursday, December 8, 2022, beginning at 10:00 a.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. {expires: 2021-12-10} Continue reading "SEC Announces Upcoming Investor Advisory..." »

On November 15th, the SEC’s Division of Enforcement announced that in fiscal year 2022, it saw a great deal of critical, first-of-their-kind enforcement actions to further attempt to protect investors and promote market integrity. Continue reading "SEC Releases Enforcement Results for Fiscal..." »

The SEC has proposed new rules to enhance conditions regarding governance throughout all registered clearing agencies by decreasing the probability that conflicts of interest may impact the board of directors or another governing body of a registered clearing agency. Continue reading "SEC Announces Proposed Rules to Enhance..." »

The SEC’s Division of Corporation Finance will hold a meeting via webcast on sec.gov to discuss and consider whether to adopt amendments to the proxy rules governing proxy voting advice. The Division will also consider whether to propose amendments to revise certain substantive bases for exclusion of shareholder proposals under the SEC’s shareholder proposal rule (Rule 14a-8). {expires: 2022-07-14} Continue reading "SEC Staff to Hold Open Meeting to Discuss Proxy..." »

On June 29th, the Financial Accounting Standards Board (FASB) issued its 2021 FASB Agenda Consultation Report. The document summarizes comments submitted by investors during the 2021 agenda consultation project and demonstrates how those responses have shaped the FASB’s technical and research agendas and standard-setting process as of June 29, 2022. Continue reading "FASB Releases 2021 Agenda Consultation Report" »

On June 30th, the Financial Accounting Standards Board (FASB) published an Accounting Standards Update (ASU) that improves financial reporting for investors and other financial statement users. The ASU is designed to enhance comparability of financial information for all reporting entities with investments in equity securities measured at fair value and are subject to contractual restrictions preventing the sale of those securities. Continue reading "FASB Releases ASU to Improve Fair Value..." »

The SEC’s Office of Investor Education and Advocacy has announced the launch of a game show-themed public service campaign entitled “Investomania” that is designed to help investors make informed investment decisions and protect themselves from fraud. Drawing on the idea that investing may sometimes seem like playing a game, the campaign reaffirms the need for investors to take proper precautions when making investment decisions. Continue reading "SEC Introduces Game Show-Themed Public Service..." »

On May 25th, the SEC announced that it is proposing amendments to Rule 35d-1 under the Investment Company Act of 1940, the Investment Company Names Rule of 2001 (Names Rule). For a business development company (BDC) or a registered investment company, the name of its firm is an important marketing tool for the fund, and it conveys to investors useful information about the fund. Continue reading "SEC Proposes Rule Updates to Prohibit..." »

The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Thursday, June 9, 2022, at 10:00 a.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. {expires: 2022-06-10} Continue reading "SEC to Hold Investor Advisory Committee Meeting" »

On May 9th, the SEC announced that it has extended the public comment period concerning the proposed rules designed to improve and regulate climate-related disclosures for investors. The SEC also announced that it will reopen the comment periods for the proposed rules that would enhance protections for private fund investors as well as proposed rules to include significant Treasury markets platforms within Regulation ATS. The proposed rules have garnered much attention from a wide range of investors, issuers, market participants, and other stakeholders. The extension and reopening of comment periods allow these parties, who represent diverse views and experiences, the benefit of additional time to review and provide valuable feedback. Continue reading "SEC to Extend Comment Period for Proposed Rules..." »

On April 25th, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors. This update adds 58 soliciting entities, 11 impersonators of real firms, and one bogus regulator. Continue reading "SEC Revises PAUSE List of Firms Using..." »

The SEC’s Office of the Investor Advocate, in conjunction with the North American Securities Administrators Association (NASAA) and AARP will host a public listening session covering a number of investing matters pertaining to American senior and older communities, including those with diminished capacity. The discussions are geared also toward seniors’ loved ones, caregivers, financial professionals and consumer advocates. The audio event, which brings together investors and the securities regulators who protect them from investment fraud, will be held on Thursday, April 28, 2022 from 10:00 a.m. to 12:00 p.m. ET. It will be streamed live on sec.gov. Continue reading "SEC, NASAA, AARP to Co-Host Older Investor..." »

The SEC has announced that its Small Business Capital Formation Advisory Committee will hold a remote meeting to discuss matters related to the rules and regulations affecting small and emerging companies and their investors under the federal securities laws. The free webcast will take place on Friday, May 6, 2022, from 10:00 a.m. to 2:30 p.m. ET. The event is open to the public and will be presented live on sec.gov. {expires: 2022-05-07} Continue reading "SEC to Hold Small Business Capital Formation..." »

On April 8th, the FERC announced that it is requesting public feedback on the currently approved information collections, FERC Form Nos. 6 and 6T (Annual Report of Oil Pipeline Companies) and 6–Q and 6–QT (Quarterly Report of Oil Pipeline Companies). Continue reading "FERC Releases Notice of Information..." »