CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint proposal to align the minimum margin required on security futures with other similar financial products. …

CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint proposal to align the minimum margin required on security futures with other similar financial products. …

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule

Five federal financial regulatory agencies announced on Tuesday that they adopted a final rule to exclude community banks from the Volcker Rule, consistent with the Economic Growth, Regulatory Relief, and Consumer Protection Act.

The Volcker Rule gene…

SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee

The Securities and Exchange Commission today announced the August 13 meeting of its Small Business Capital Formation Advisory Committee. The meeting will begin at 9:30 a.m. CT, 10:30 a.m. ET, at Creighton University in Omaha, Nebraska, and is open to t…

Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC

The Securities and Exchange Commission announced today that Julie A. Erhardt, Deputy Chief Accountant (Technology and Innovation) in the Office of the Chief Accountant (OCA), plans to leave the agency in July after more than 14 years of noteworthy serv…

Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC

The Securities and Exchange Commission announced today that Julie A. Erhardt, Deputy Chief Accountant (Technology and Innovation) in the Office of the Chief Accountant (OCA), plans to leave the agency in July after more than 14 years of noteworthy serv…

Allison Herren Lee Sworn In As SEC Commissioner

Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner.

Ms. Lee was nominated to the SEC by President Donald J. Trump and unanimously confirmed by the U.S. Senate.

“Allison’s expertise in securities law, including from her prior te…

Allison Herren Lee Sworn In As SEC Commissioner

Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner.

Ms. Lee was nominated to the SEC by President Donald J. Trump and unanimously confirmed by the U.S. Senate.

“Allison’s expertise in securities law, including from her prior te…

SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products

The Securities and Exchange Commission (SEC) announced today that it has proposed to align the minimum margin required on security futures with other similar financial products.  The proposal—which, if the CFTC votes in favor of, would be a joint CFTC-…

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los Angeles Regional Office, is leaving the agency this month after eight years of service.

Mr. Berry joined the SEC …

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los Angeles Regional Office, is leaving the agency this month after eight years of service.

Mr. Berry joined the SEC …

SEC Names Sagar Teotia As Chief Accountant

The Securities and Exchange Commission today announced that Sagar Teotia has been named the agency’s Chief Accountant.

As Chief Accountant, Mr. Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will l…