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Wednesday, October 21. 2020

SEC Releases Agenda for October 26 Virtual Roundtable on Regulation Best Interest and Form CRS

On October 16th, the SEC announced the agenda and panelists for the Monday, October 26th roundtable which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA). The event will feature the two groups presenting panels discussing initial observations on Regulation Best Interest and Form CRS. Continue reading "SEC Releases Agenda for October 26 Virtual..." »
Posted by
The Novaworks Team
in Events, SEC at 09:34

Friday, October 16. 2020

SEC and CFTC to Host a Virtual Joint Open Meeting on October 22

The SEC and the Commodity Futures Trading Commission (CFTC) announced that their agencies will be partnering to host a virtual open meeting on Thursday, October 22, 2020, at 10:00 am EDT. Continue reading "SEC and CFTC to Host a Virtual Joint Open..." »
Posted by
The Novaworks Team
in Events, SEC at 17:30

Monday, October 12. 2020

SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

On October 7th, the SEC announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers. It will now take place on November 19, 2020. The compliance program is aimed at helping chief compliance officers (CCOs) and other senior personnel at investment companies and investment advisory firms improve their compliance programs for the protection of investors. Continue reading "SEC to Host Virtual National Compliance..." »
Posted by
The Novaworks Team
in Events, Investment Management, SEC at 10:50

Friday, October 02. 2020

SEC to Host October 26 Virtual Roundtable on Regulation Best Interest and Form CRS

On September 28th, the SEC announced that it will host an event on October 26th from 1:00 to 3:00 pm ET, which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA) for a roundtable that was announced in an earlier statement by the Staff Standards of Conduct Implementation Committee. The two groups will discuss initial observations following the June 30, 2020 compliance date for Regulation Best Interest and Form CRS. Continue reading "SEC to Host October 26 Virtual Roundtable on..." »
Posted by
The Novaworks Team
in Events, SEC at 15:33

Thursday, September 24. 2020

FERC, Virginia Tech Introduce EnVision 2021 Spring Conference

On September 15th, FERC Chairman Neil Chatterjee announced a new joint venture with Virginia Tech to co-host the next annual EnVision Forum. The two organizations hope the conference will provide an opportunity to explore the technology-driven concerns challenging the energy industry. Continue reading "FERC, Virginia Tech Introduce EnVision 2021..." »
Posted by
The Novaworks Team
in Events, FERC at 11:25

Monday, September 14. 2020

SEC Releases Agenda for Upcoming Meeting of the Asset Management Advisory Committee

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.
Continue reading "SEC Releases Agenda for Upcoming Meeting of the..." »
Posted by
The Novaworks Team
in Events, SEC at 11:35

Tuesday, September 08. 2020

FERC Announces Details of September 30th Carbon Pricing Tech Conference

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..." »
Posted by
The Novaworks Team
in Events, FERC at 17:12

Friday, September 04. 2020

SEC Investor Advisory Committee to Hold Public Virtual Meeting September 24th

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..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 10:02

Thursday, July 30. 2020

Small Business Capital Formation Advisory Committee Meeting to Focus on Underrepresented Founders in Markets

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..." »
Posted by
The Novaworks Team
in Events, SEC at 12:58

Wednesday, July 22. 2020

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

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.
Continue reading "SEC, MSRB, FINRA to Hold Compliance Outreach..." »
Posted by
The Novaworks Team
in Events, SEC at 11:26

Friday, June 12. 2020

FinHub to Host Virtual Meet-Ups

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.
Continue reading "FinHub to Host Virtual Meet-Ups" »
Posted by
The Novaworks Team
in Events, SEC at 16:35

New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud

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.
Continue reading "New York Regional Office to Host Educational..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 14:19

Friday, May 22. 2020

SEC Will Hold Virtual Conference on Municipal Securities Disclosure

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.
Continue reading "SEC Will Hold Virtual Conference on Municipal..." »
Posted by
The Novaworks Team
in Events, SEC at 12:02

Thursday, May 21. 2020

SEC Announces Virtual 2020 Small Business Forum

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" »
Posted by
The Novaworks Team
in Events, SEC at 14:10

Tuesday, May 19. 2020

SEC to Host Roundtable on Emerging Markets

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.
Continue reading "SEC to Host Roundtable on Emerging Markets" »
Posted by
The Novaworks Team
in Events, SEC at 11:23
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