Investor Education - Entries from May 2024

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Tuesday, May 28. 2024

SEC Staff to Hold Investor Advisory Committee Meeting

The SEC’s Investor Advisory Committee will hold an open meeting via webcast on sec.gov that will take place on Thursday, June 6, 2024 at 10:00 a.m. ET. The meeting is free and open for the public to attend. The meeting will cover committee matters, including subcommittee reports and approval of previous meeting minutes. Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

Posted by

LeAnn Dey

in Events, Investor Education, SEC at 16:39

Tuesday, May 21. 2024

SEC Approves Revisions to Regulation S-P to Improve Protection of Consumer Information

The SEC has announced that it has adopted enhancements to Regulation S-P, the regulation protecting the privacy of consumer financial information. Accepted on May 16th, the changes will require covered institutions (broker-dealers, investment companies, registered investment advisers, and transfer agents) to keep affected individuals apprised of certain types of data breaches that may put them at risk. Continue reading "SEC Approves Revisions to Regulation S-P to..." »

Posted by

LeAnn Dey

in Investor Education, SEC at 17:40

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