On September 11th, the SEC issued the agenda for the September 16th meeting of the Asset Management Advisory Committee (AMAC). This committee was formed to provide the SEC with diverse perspectives on asset management as well related policy recommendations. The upcoming meeting will include a discussion of matters in the asset management industry, specifically issues concerning the ESG and Private Investments Subcommittees and improving diversity and inclusion. In addition, the meeting will feature a follow-up discussion on COVID-19 matters related to the May 27th AMAC meeting.
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On August 28th, FERC announced details for the upcoming Carbon Pricing in Organized Wholesale Electricity Markets Technical Conference, which is scheduled for Wednesday, September 30, 2020 from 9 am to 5:30 pm EDT. Registration is not necessary, and the public is invited to take part in this free event via live webcast. Continue reading "FERC Announces Details of September 30th Carbon..." »

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..." »

The ongoing COVID-19 pandemic has highlighted the importance of access to capital for small businesses across the country. The Small Business Capital Formation Advisory Committee recently met to discuss and develop solutions that can support small business’ short- and long-term capital needs. The SEC responded to the Committee’s feedback with temporary emergency relief to expedite the offering process for smaller, established companies. Continue reading "Small Business Capital Formation Advisory..." »

On July 16th, the SEC, the Municipal Securities Rulemaking Board (MSRB), and the Financial Industry Regulatory Authority (FINRA) announced they will jointly host a virtual Compliance Outreach Program for Municipal Advisors. The webcast program will be held Thursday, August 13, 2020, from 1 pm to 3 pm ET.
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On June 11th, the SEC’s Strategic Hub for Innovation and Financial Technology (FinHub) announced it will be conducting virtual peer-to-peer meet-ups (P2Ps). FinHub previously engaged with FinTech communities across the country in 2019 by hosting in-person meetings. These meetings offered members of FinTech communities the opportunity to speak in person with FinHub staff to discuss general issues, specific questions, or make presentations about their work.
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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 has announced it will hold its conference “Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices” on June 16, 2020. The conference was rescheduled due to the ongoing COVID-19 pandemic, and it will now be a virtual event. It is open to the public via live webcast from 1 p.m. to 4 p.m. EDT on the SEC’s website. The conference will also be archived on the Office of Municipal Securities (OMS) webpage for later viewing.
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The SEC announced on May 20th that it will host its 39th annual Government-Business Forum on Small Business Capital Formation on the afternoon of June 18, 2020. This Forum is a unique opportunity for members of the public and private sectors to gather and craft suggestions for policies impacting emerging businesses and their investors. The topics are applicable to a wide range of businesses from start-ups to smaller public companies. Continue reading "SEC Announces Virtual 2020 Small Business Forum" »

On May 19th, the SEC announced that it will hold its staff roundtable on July 9th. This roundtable permits the staff to hear the opinions of investors, regulators, industry experts, and other market participants on the risks of investing in emerging markets, including China.
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The SEC’s Small Business Capital Formation Advisory Committee will meet on May 8th, 2020 via video conference to discuss the SEC’s recent Capital Formation Proposal. This proposal offers amendments to simplify, harmonize, and improve certain aspects of the exempt offering framework. In addition, the Committee will continue its discussion that began on April 2 on how small businesses are coping with COVID-19 during the meeting. It will also share observations and perspectives from their areas of the marketplace. Continue reading "Small Business Capital Formation Advisory..." »

The SEC’s Office of the Advocate for Small Business Capital Formation announced on March 31st that it is hosting a series of virtual coffee breaks to engage with the public to discuss updates, trends, and perspectives on how COVID-19 is impacting raising capital. Each virtual coffee break will spotlight what is currently happening in a particular area of the market and incorporate feedback from entrepreneurs, investors, and other market participants. Continue reading "SEC Small Business Advocate to Host Virtual..." »

On March 31, the SEC announced its Small Business Capital Formation Advisory Committee will host a meeting via video conference on April 2, 2020. This meeting is in response to the challenges small businesses are facing in coping with COVID-19.
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To aid our clients in their efforts to transition to telecommuting and remote work, we are offering a webinar on Tuesday, March 24 from 11:00am to 12:00pm EDT that will cover the different methods of deploying GoFiler remotely.

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On March 9th, the SEC announced that it is postponing its conference on municipal securities disclosure entitled “Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosures Practices”. Continue reading "SEC Postpones Conference on Municipal..." »