Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- Statement on Senate Confirmation of Gary Gensleron April 14, 2021
Statement on Senate Confirmation of Gary Gensler Acting Chair Allison Herren Lee Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Caroline Crenshaw April 14, 2021
- Token Safe Harbor Proposal 2.0on April 13, 2021
Token Safe Harbor Proposal 2.0, statement by Commissioner Hester M. Peirce, April 13, 2021
- Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”)on April 12, 2021
Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”), by John Coates, Acting Director, Division of Corporation Finance, and Paul Munter, Acting Chief Accountant, Office of the Chief Accountant
- Statement on the Staff ESG Risk Alerton April 12, 2021
Statement on the Staff ESG Risk Alert
- SEC Awards Approximately $2.5 Million to Whistlebloweron April 9, 2021
The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to the staff significantly contributed to the success of an SEC enforcement action. “The…
- Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agencyon April 8, 2021
The Securities and Exchange Commission today announced that Jane Norberg, Chief of the SEC's Office of the Whistleblower, is planning to leave the agency this month. Ms. Norberg has been with the Office since near its inception in 2012, serving as its…
- SPACs, IPOs and Liability Risk under the Securities Lawson April 8, 2021
SPACs, IPOs and Liability Risk under the Securities Laws, statement by John Coates, Director, Division of Corporation Finance
- SEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Schemeon April 6, 2021
The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief in an emergency enforcement action against Los Angeles-based actor Zachary Horwitz and his company, 1inMM (one in a million) Capital, LLC…
- SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for Franceon April 5, 2021
The Securities and Exchange Commission voted to take two actions to continue to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission is publishing…
- Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failureson April 5, 2021
The Securities and Exchange Commission today announced the institution of administrative proceedings against a Texas-based CPA for allegedly failing to register his firm with the Public Company Accounting Oversight Board (PCAOB) and alleged wholesale…
- SEC Promotes Investor Awareness During National Financial Capability Monthon April 5, 2021
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) is embracing National Financial Capability Month as an opportunity to encourage all investors, especially first-timers or those relatively new to investing, to take…
- Staff Statement on Select Issues Pertaining to Special Purpose Acquisition Companieson March 31, 2021
Staff Statement on Select Issues Pertaining to Special Purpose Acquisition Companies Division of Corporation Finance March 31, 2021
- Financial Reporting and Auditing Considerations of Companies Merging with SPACson March 31, 2021
Financial Reporting and Auditing Considerations of Companies Merging with SPACs Paul Munter Acting Chief Accountant Mar. 31, 2021
- Opening Remarks at the Diversifying Opportunity in Venture Capital Serieson March 31, 2021
Opening Remarks at the Diversifying Opportunity in Venture Capital Series
- SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awardson March 29, 2021
The Securities and Exchange Commission awarded more than $500,000 to a whistleblower who raised concerns internally before submitting a tip to the Commission. The whistleblower's information and assistance allowed the Commission and another agency…
- SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Acton March 24, 2021
The Securities and Exchange Commission has adopted interim final amendments to implement congressionally mandated submission and disclosure requirements of the Holding Foreign Companies Accountable Act (HFCA Act). The interim final amendments will…
- SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issueson March 22, 2021
The SEC today launched a new page on its website to bring together agency actions and the latest information about climate and environmental, social and governance (ESG) investing. In response to increased investor demand for this information, the page…
- Remarks at Asset Management Advisory Committee Meetingon March 19, 2021
Remarks at Asset Management Advisory Committee Meeting March 19, 2021
- Remarks at Asset Management Advisory Committee Meetingon March 19, 2021
Remarks at Asset Management Advisory Committee Meeting
- Remarks at the March 19, 2021 Meeting of the Asset Management Advisory Committeeon March 19, 2021
Remarks at the March 19, 2020 Meeting of the Asset Management Advisory Committee