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 has announced its Investor Advisory Committee will hold a virtual public meeting on May 4th, 2020 at 2 p.m. EDT. This meeting is open to the public via live webcast, and it will also be archived on the committee’s website.
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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..." »

On February 25th, the SEC announced it would be opening registration for its compliance outreach program’s national seminar for investment companies and investment advisers. This event is intended to aid chief compliance officers (CCOs) and other senior personnel at investment companies and advisory firms in enhancing their programs to benefit the protection of investors. The compliance outreach program is jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement.

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On January 23rd, the SEC announced that it will host a conference that will focus on municipal securities, which are predominantly owned by Main Street investors and help finance important public projects, including schools, roads, and utilities. This conference, scheduled for March 10th, is entitled “Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices”.

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On November 20th, the SEC announced it will host a conference on December 4th entitled "The State of Our Securities Markets". This conference will bring together current and former government officials and experts from different areas of the private sector as it explores the ever-changing economic, risk, and market environments. In addition, what these changes mean for the structure and function of the securities markets will be discussed. In particular, the conference with focus on macroeconomic trends (including their influence on capital markets), changes to the global equity and credit markets (including how today's markets are different from those of the early 2000s), and market concentration and fragmentation within certain areas of the securities market (including relevant causes and potential risks and effects).

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The SEC's Investor Advisory Committee will hold a public meeting on November 7th beginning at 9:30 am EST. The meeting, which is open to the public and free to attend, will take place in the Multipurpose Room at SEC Headquarters at 100 F Street, NE, Washington, DC. The Investor Advisory Committee was established to advise the SEC on regulatory priorities of securities products, trading strategies, fee structures, and the effectiveness of disclosure. In addition, the committee explores initiatives to protect investor interests and to promote investor confidence in the marketplace. Continue reading "SEC Investor Advisory Committee to Meet on..." »

The SEC’s Investor Advisory Committee will hold a meeting on July 25 at 9 a.m. EST. This committee was established to advise the SEC on regulatory priorities and issues, including the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and initiatives to protect investor interests and promote investor confidence. Members of the committee represent a wide variety of investors, from individual and institutional investors to senior citizens and state securities commissions.

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