Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- ABB Settles SEC Charges that it Engaged in Bribery Scheme in South Africaon December 3, 2022
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. The…
- SEC Investor Advisory Committee to Discuss Investor Account Statements, Corporate Tax Transparency, and Single-Stock ETFs on Dec 8on December 1, 2022
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Account…
- Fort Worth Regional Director David L. Peavler to Leave SECon December 1, 2022
The Securities and Exchange Commission today announced that David L. Peavler, the Director of the Fort Worth Regional Office since 2019, is leaving the agency after more than 19 years of service. Eric R. Werner and Marshall Gandy will serve as the office…
- Remarks at the ICI Global Asset Management Asia Forumon November 30, 2022
Remarks at the ICI Global Asset Management Asia Forum Commissioner Mark T. Uyeda November 30, 2022 Singapore
- SEC Awards $20 Million to Whistlebloweron November 28, 2022
The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action. In determining the appropriate award amount, the SEC considered…
- SEC Publishes FY22-26 Strategic Planon November 23, 2022
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce…
- SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investmentson November 22, 2022
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and Governance…
- SEC Seeks to Stop the Registration of Misleading Crypto Asset Offeringson November 18, 2022
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration of…
- SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Tradeson November 17, 2022
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities trading,…
- Statement on Speaker Pelosi’s Future Planson November 17, 2022
Statement on Speaker Pelosi’s Future Plans Commissioner Jaime Lizárraga Washington, D.C. Nov, 17, 2022
- Investor Alert: Identity Theft, Data Breaches and Your Investment Accountson November 17, 2022
- Remarks at the 2022 Cato Summit on Financial Regulationon November 17, 2022
Remarks at the 2022 Cato Summit on Financial Regulation Commissioner Mark T. Uyeda Washington, D.C. November 17, 2022
- Digital Assets: Putting Investors Firston November 16, 2022
Digital Assets: Putting Investors First Brooklyn Law School November 16, 2022 Keynote Address Commissioner Jaime Lizárraga
- “The Beatles and the Treasury Market”: Remarks Before the U.S. Treasury Market Conferenceon November 16, 2022
“The Beatles and the Treasury Market” Remarks of Gary Gensler Chair, U.S. Securities and Exchange Commission Before the U.S. Treasury Market Conference Nov. 16, 2022
- Remarks at Securities Enforcement Forumon November 15, 2022
SECURITIES ENFORCEMENT FORUM November 15, 2022: Mayflower Hotel, Washington, D.C. Gurbir Grewal
- There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinneron November 15, 2022
There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinner Commissioner Hester M. Peirce November 15, 2022
- SEC Announces Enforcement Results for FY22on November 15, 2022
The Securities and Exchange Commission today announced that it filed 760 total enforcement actions in fiscal year 2022, a 9 percent increase over the prior year. These included 462 new, or "stand alone," enforcement actions, a 6.5 percent increase over…
- “Good Counsellors”: Remarks Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Programon November 15, 2022
“Good Counsellors” Remarks of Gary Gensler Chair, Securities and Exchange Commission Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Program November 15, 2022
- SEC Charges S&P Global Ratings with Conflict of Interest Violationson November 14, 2022
The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing…
- 2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Addresson November 14, 2022
2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address William A. Birdthistle Director of the Division of Investment Management November 14, 2022