Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committeeon October 26, 2021
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- SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitteron October 26, 2021
The Securities and Exchange Commission today announced that it filed an emergency action, and obtained an injunction and asset freeze, against Steven M. Gallagher for allegedly committing securities fraud through a long running scheme to manipulate…
- The Importance of High Quality Independent Audits and Effective Audit Committee Oversight to High Quality Financial Reporting to Investorson October 26, 2021
The Importance of High-Quality Independent Audits and Effective Audit Committee Oversight to High Quality Financial Reporting to Investors Paul Munter Acting Chief Accountant October 26, 2021
- Statement Before the Financial Stability Oversight Councilon October 21, 2021
Statement Before the Financial Stability Oversight Council by Chair Gary Gensler
- Prepared Remarks At DC Fintech Weekon October 21, 2021
Prepared Remarks of Gary Gensler Chair, Securities and Exchange Commission At DC Fintech Week Oct. 21, 2021
- Remarks at the PRI/LSEG Investor Action on Climate Webinaron October 20, 2021
Remarks at the PRI/LSEG Investor Action on Climate Webinar by Commissioner Allison Herren Lee
- In the Matter of Credit Suisseon October 20, 2021
In the Matter of Credit Suisse by Commissioner Hester M. Peirce
- Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offeringson October 19, 2021
Credit Suisse Group AG has agreed to pay nearly $475 million to U.S. and U.K authorities, including nearly $100 million to the Securities and Exchange Commission, for fraudulently misleading investors and violating the Foreign Corrupt Practices Act (FCPA…
- SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021on October 18, 2021
The Securities and Exchange Commission today published a Staff Report on Equity and Options Market Structure Conditions in Early 2021, which focuses on the January 2021 trading activity of GameStop Corp (GME), the most famous of the "meme…
- Statement on Staff Report on Equity and Options Market Structure Conditions in Early 2021on October 18, 2021
Statement by Gary Gensler Chair of the Securities and Exchange Commission Staff Report on Equity and Options Market Structure Conditions in Early 2021 Oct. 18, 2021
- Statement on Staff Report on Equity and Options Market Conditions in Early 2021on October 18, 2021
Statement on Staff Report on Equity and Options Market Conditions in Early 2021 Commissioners Hester M. Peirce and Elad L. Roisman October 18, 2021
- SEC Awards $40 Million to Two Whistleblowerson October 15, 2021
The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action. The first whistleblower, whose information caused…
- Enhancing Equity Market Competitionon October 15, 2021
Enhancing Equity Market Competition Commissioner Elad L. Roisman October 15, 2021
- Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensationon October 14, 2021
Statement by Gary Gensler Chair of the Securities and Exchange Commission Rules Regarding Clawbacks of Erroneously Awarded Compensation Oct. 14, 2021
- SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensationon October 14, 2021
The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for the recovery of erroneously awarded compensation. “I support today’s action to reopen comment on the Dodd-Frank Act rule regarding…
- SEC Modernizes Filing Fee Disclosure and Payment Methodson October 13, 2021
The Securities and Exchange Commission today adopted amendments to modernize filing fee disclosure and payment methods. Operating companies and investment companies (funds) pay filing fees when engaging in certain transactions, including registered…
- Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capitalon October 13, 2021
Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital Remarks at SEC Speaks 2021 Martha Legg Miller Advocate for Small Business Capital Formation October 13, 2021
- Statement of Support – Modernization of Filing Fees and Payment Methodson October 13, 2021
Statement of Support – Modernization of Filing Fees and Payment Methods Chair Gary Gensler October 13, 2021
- Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest?on October 13, 2021
Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? The SEC Speaks in 2021 by: Rick A. Fleming
- Remarks at SEC Speaks 2021on October 13, 2021
Remarks at SEC Speaks 2021 by: Gurbir Grewal, Director. Division of Enforcement