SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

The Securities and Exchange Commission today announced that it has voted to propose amendments to modernize the rules under the Investment Advisers Act addressing investment adviser advertisements and payments to solicitors. The proposed…

SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions

Today the staff of the U.S. Securities and Exchange Commission issued an extension of an Oct. 26, 2017 no-action letter it provided to assist market participants regarding their U.S.-regulated activities as they engage in efforts to comply with…

SEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets

The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William Duhnke, and members of the SEC staff met last week with senior representatives of the four largest…

SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints

The Securities and Exchange Commission today filed an amended complaint against online auction portal Collectors Café and its CEO Mykalai Kontilai to add allegations that they unlawfully sought to prohibit their investors from reporting misconduct to t…

SEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors

The Securities and Exchange Commission today charged XBT Corp. SARL d/b/a First Global Credit, a Switzerland-based securities dealer, for offering and selling unregistered security-based swaps to U.S. investors using bitcoins and for failing to transac…

SEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee

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The Securities…

SEC to Host Veterans Day Program for Active Duty Service Members and Veterans

The Securities and Exchange Commission will host a Veterans Day program on Tuesday, Nov. 12.

The program will feature a conversation with SEC Chairman Jay Clayton and Colonel James Tuite of the U.S. Army’s “Old Guard” that will focus on…

Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program

The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance Inspections and Examination’s (OCIE) investment adviser and investment company examination…

SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud

The Securities and Exchange Commission’s New York Regional Office and Fordham University School of Law will host a conference on November 1 on combating community-based financial fraud.  The conference will focus on fraudulent and manipulative…

U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network

The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC) today announced joining the Global Financial Innovation…

SEC Investor Advisory Committee to Meet on Nov. 7

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30 a.m. Eastern Time in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and…

SEC Proposes Amendments to Exemptive Applications Procedures

The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent, as we…