Continuing its focus on the fund industry, the Securities and Exchange Commission’s Division of Investment Management will hold its inaugural Conference on Emerging Trends in Asset Management on May 19, 2023, which will be open to the public via webcast on the SEC website. Asset management industry leaders and academics will contribute to discussions
Declan Goulding
SEC Investor Advisory Committee Meeting
By Declan Goulding on
Posted in Private Companies, SEC News
The Securities and Exchange Commission’s Investor Advisory Committee will hold a meeting on March 2, 2023, which will be open to the public via webcast. In the morning session, the Committee will discuss potential regulatory implications of the growth of private markets relative to public markets. The agenda notes that panelists will explore the growth…
SEC Open Meeting—Is T+1 Coming Soon?
By Declan Goulding on
In February 2022, the Securities and Exchange Commission proposed to adopt rules and rule amendments to shorten the standard settlement cycle for securities transactions from two business days from trade date (T+2) to one business day (T+1) and requested comments. Next week on February 15, 2023, the SEC will host an open meeting to discuss…
SEC Small Business Capital Formation Advisory Committee Meeting
By Declan Goulding on
Today, February 7, 2023, the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee will host a meeting to discuss several matters. The Committee will discuss alternatives to traditional bank and venture capital funding for small and mid-size private companies. Next, the Committee will discuss rules and amendments first proposed in February 2022 pertaining…
SEC Investor Advisory Committee Public Meeting Announced
By Declan Goulding on
The Securities and Exchange Commission’s Investor Advisory Committee announced a virtual public meeting to be held on December 8, 2022 to discuss several investor-related matters. The committee is scheduled to host three panels on the following topics: account statement disclosures; corporate tax transparency; and single stock exchange-traded funds (ETFs).
The first panel on account statement disclosures will…
SEC Announces Enforcement Results for FY22
By Declan Goulding on
On November 15, 2022, the Securities and Exchange Commission announced its enforcement results for fiscal year 2022. Fiscal year 2022 was a significant year for the SEC as it levied over $6.4 billion in penalties and disgorgement – an SEC record. These fines and penalties came from 760 enforcement actions filed during the fiscal year…
SEC Open Meeting Announced
By Declan Goulding on
The Securities and Exchange Commission announced an open meeting to be held on November 2, 2022 to discuss several matters, some proxy related.
The SEC will consider whether to adopt new rules and form amendments intended to increase transparency in proxy vote reporting for registered investment companies. On September 29, 2021, the SEC had announced…