Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- Paul Munter Named the SEC’s Acting Chief Accountanton January 22, 2021
The Securities and Exchange Commission today announced that Paul Munter will serve as the Acting Chief Accountant upon the departure of Sagar Teotia in February. Since 2019, Mr. Munter has served as Deputy Chief Accountant leading the international work…
- Melissa Hodgman Named Acting Director of Division of Enforcementon January 22, 2021
The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate Director in the Commission's Division of Enforcement, has been named Acting Director of the Division of Enforcement. "Melissa's dedication to investor…
- Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Marketson January 22, 2021
The Securities and Exchange Commission today released the agenda for the Friday, Jan. 29 meeting of its Small Business Capital Formation Advisory Committee, which will focus on the experiences of smaller public companies and the Commission’s recent…
- Statement on Federal Reserve Board’s Proposed Collection of U.S. Treasury Transaction Dataon January 22, 2021
Statement on Federal Reserve Board’s Proposed Collection of U.S. Treasury Transaction Data Commissioner Elad L. Roisman January 21, 2021
- Statement on Designation of Commissioner Lee as Acting Chairmanon January 21, 2021
Statement on Designation of Commissioner Lee as Acting Chairman Commissioners Peirce, Roisman, and Crenshaw Wednesday, January 21, 2021
- Allison Herren Lee Named Acting Chair of the SECon January 21, 2021
The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. “It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee…
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investorson January 21, 2021
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 28 soliciting entities, three impersonators of genuine firms, and six…
- Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenureon January 19, 2021
The Securities and Exchange Commission today announced that Kimberly Hamm, Chief Counsel to the Chairman, will conclude her tenure at the agency in the coming weeks. Ms. Hamm joined the SEC in April 2019 and was named Chief Counsel to Chairman Jay…
- Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Serviceon January 19, 2021
The Securities and Exchange Commission today announced that Shelley E. Parratt, Acting Director of the SEC's Division of Corporation Finance, is retiring next month after 35 years of service to the Commission. Ms. Parratt joined the SEC's Division…
- UK ICO Provides Clarity Regarding Transfers of Personal Data to the SECon January 19, 2021
UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC, Statement by Acting Chairman Elad L. Roisman, January 29, 2021
- Statement on FINRA’s Corporate Bond New Issue Reference Data Proposalon January 15, 2021
Statement on FINRA’s New Issue Reference Data Proposal Acting Chairman Elad L. Roisman January 15, 2021
- Concurrence in the Matter of Wireline, Inc.on January 15, 2021
Concurrence in the Matter of Wireline, Inc., statement by Commissioner Hester M. Peirce, January 15, 2021
- Statement on Chief Economist S.P. Kothari Concluding His Tenure at SECon January 15, 2021
Statement on Chief Economist S.P. Kothari Concluding His Tenure at SEC, by Acting Chairman Elad L. Roisman, January 15, 2021
- Statement on SEC General Counsel Bob Stebbins Concluding His Tenureon January 15, 2021
Statement on SEC General Counsel Bob Stebbins Concluding His Tenure, by Acting Chairman Elad L. Roisman, January 15, 2021
- What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4on January 15, 2021
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will host its second annual Capital Call on Feb. 4, 2020, at 1 p.m. ET, where the office will talk about what’s happening with capital raising…
- Fee Rate Advisory #2 for Fiscal Year 2021on January 15, 2021
The Securities and Exchange Commission today announced that starting on February 25, 2021, the fee rates applicable to most securities transactions will be set at $5.10 per million dollars. Consequently, each SRO will continue to pay the…
- SEC Awards Nearly $600,000 to Whistlebloweron January 14, 2021
The Securities and Exchange Commission today announced an award of nearly $600,000 to a whistleblower whose tip led to the success of an enforcement action. The whistleblower substantially contributed to an open investigation by providing detailed…
- Sagar Teotia to Conclude Tenure as SEC Chief Accountanton January 13, 2021
The Securities and Exchange Commission today announced that Sagar Teotia, the Commission’s Chief Accountant, intends to leave the agency by the end of February after nearly six years of total public service. As Chief Accountant, Mr. Teotia is the…
- Acting Enforcement Director Marc P. Berger to Depart the Commissionon January 12, 2021
The Securities and Exchange Commission today announced that Marc P. Berger, Acting Director of the Division of Enforcement, will conclude his tenure at the agency this month. Mr. Berger joined the Commission as Director of the New York Regional Office in…
- SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investorson January 12, 2021
The Securities and Exchange Commission today charged fund manager Eric C. Malley and his company MG Capital Management L.P. with defrauding retail investors in two real estate funds managed by MG Capital. According to the SEC’s complaint, beginning in…