The SEC’s Atlanta Regional Office (ARO), Operation HOPE, the Federal Trade Commission, and the Georgia Secretary of State Securities and Charities Division have partnered to host a virtual outreach event focusing on recognizing and avoiding investment and consumer fraud. The event will take place on June 29, 2021, at 11:00 a.m. ET. {expires: 2021-06-30} Continue reading "SEC Regional Office, Other Agencies Collaborate..." »

On June 15, 2021, in recognition of World Elder Abuse Awareness Day, the SEC announced its collaboration with regulatory counterparts, the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA), to develop a free, online training program focused on protecting senior investors. The resource, entitled “Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors”, fulfills implementation requirements pursuant to the Senior Safe Act of 2018.
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On June 9, 2021, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors, adding 55 soliciting entities, five bogus regulators, and four impersonators of real firms. Continue reading "SEC Revises List of Entities Soliciting..." »

The SEC has announced its virtual Investor Advisory Committee meeting that will take place on June 10, 2021, beginning at 10:00 a.m. EDT. The public may attend the free event which will be presented live via webcast at sec.gov. The meeting will also be archived on the Committee’s website for later viewing.

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The SEC’s New York Regional Office and the Retail Strategy Task Force, in conjunction with the Fordham University Gabelli School of Business, will hold a webinar on Tuesday, June 8, 2021, from 5:00 p.m. – 6:00 p.m. EDT focusing on timely and relevant topics for modern investors. With the ease of online access, trading and investing tools, and zero commission trading, there has been a rise in new investors trading on the securities markets over the past year. Interested parties will learn pertinent information that new investors should consider when trading or investing. {expires: 2021-06-09} Continue reading "SEC Regional Office, Retail Strategy Task Force..." »

On Monday, April 5th, the SEC’s Office of Investor Education and Advocacy (OIEA) made an announcement in line with National Financial Capability Month to encourage investors to take the time to visit Investor.gov and utilize an array of resources to become educated about investing. These efforts are intended for all investors but are especially targeted at investors who are new to investing. April has been highlighted by the US federal government as National Financial Capability Month in order to promote the value of high-quality financial education as a means to enrich American lives. Continue reading "SEC Advocates for Investor Awareness During..." »

On February 17, 2021, the SEC announced a virtual meeting of the Investor Advisory Committee that will take place on Thursday, March 11, 2021. The event will begin at 10:00 a.m. ET and will be presented live via webcast for public viewing on sec.gov. Apart from the non-public administrative session, the meeting is open to the public and will also be archived on the Committee’s website for later viewing. The meeting will feature discussions regarding the following matters: (1) self-directed individual retirement accounts (IRAs); (2) special purpose acquisition companies (SPACs); (3) minority and underserved inclusion, and (4) credit rating agencies. {expires: 2021-03-12} Continue reading "SEC to Hold March 11 Virtual Investor Advisory..." »

On November 25, 2020, the SEC announced its virtual Investor Advisory Committee meeting that will take place on Thursday, December 3, 2020. The event will begin at 10:00 a.m. ET and will be presented live via webcast for public viewing on sec.gov. The meeting also will be archived on the Committee’s website for later viewing. Continue reading "SEC Announces Virtual Investor Advisory..." »

On November 17th and 18th, XBRL US held the Investor Forum 2020. This year’s program focused on investor concerns and regulator responses during the market crisis brought on by the ongoing COVID-19 pandemic and the role XBRL can and has played during times of difficulty. Access to high quality, consistent, timely data is a priority especially during periods of market unrest and stability. The Investor Forum, which was also sponsored by the CFA Society of New York, the CFA Institute, and the Zicklin School of Business at Baruch College, addressed how standards have been used to manage investment risk and how they can and should be leveraged further to mitigate future upheaval. Continue reading "XBRL US Holds 2020 Investor Forum" »

The SEC has announced that it will hold a virtual public meeting of its Investor Advisory Committee on September 24, 2020. The meeting is open to the public via live webcast from 10 am to 4 pm EDT and will be archived for later viewing on the SEC’s website. Continue reading "SEC Investor Advisory Committee to Hold Public..." »

On August 31st, the SEC revised its list of unregistered entities using misleading data to solicit primarily non-US investors. Twenty-three soliciting entities, eight impersonators of legitimate securities firms, and seven phony regulators have been added to the the Public Alert: Unregistered Soliciting Entities (PAUSE) list.
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On August 26th, the SEC announced that it will be carefully monitoring the effects of Hurricane Laura on investors and capital markets. As the SEC tracks the storm’s developments, it will consider easing regulatory requirements and extending filing deadlines for those affected by the storm.
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The SEC’s New York Regional Office will host an educational telephone town hall about avoiding scams related to COVID-19. This event will occur on June 23, 2020 from 5 to 6 p.m. EDT. Free and open to all investors and those planning for their financial future, the town hall will allow callers to join high-ranking SEC officials who will share their insights. These officials will include the US Attorney for the District of New Jersey and the President of the Financial Industry Regulatory Authority Foundation.
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The SEC announced on May 2nd that it will launch an additional online search tool that will help investors in researching whether persons trying to sell them investments has a judgment or order against them in an enforcement action. This new tool, the SEC Action Lookup for Individuals (SALI), is intended to assist the public in making informed investment decisions and avoiding financial fraud. Continue reading "SEC Launches Additional Investor Protection..." »

The Securities and Exchange Commission has proposed a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers. These changes will also preserve access to a variety of types of advice relationships and investment products. Generally, the proposed regulations would enhance investor protection by applying consistent principles to investment advisers and broker-dealers that provide for clear disclosures, encouraging exercising due care, and addressing conflicts of interest.

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