Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investingon April 25, 2024
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and…
- SEC Staff Publishes New Registered Fund Statistics Reporton April 24, 2024
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly basis…
- New Registered Fund Statistics Reporton April 24, 2024
New Registered Fund Statistics Report Chair Gary Gensler April 24, 2024
- Remarks at the 43rd Annual Small Business Forum Catching up with Small Caps: Lessons Learned from Going Public and Staying Publicon April 19, 2024
Catching up with Small Caps: Lessons Learned from Going Public and Staying Public Remarks at the 43rd Annual Small Business Forum Commissioner Jaime Lizárraga April 18, 2023
- Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying publicon April 18, 2024
Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying public Commissioner Hester M. Peirce April 18, 2024
- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Managementon April 17, 2024
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a variety of…
- Remarks at the 43rd Annual Small Business Forumon April 17, 2024
Remarks at the 43rd Annual Small Business Forum Commissioner Mark T. Uyeda Washington, DC April 17, 2024
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024on April 17, 2024
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to…
- Prepared Remarks Before the 2024 43rd Annual Small Business Forumon April 16, 2024
Prepared Remarks Before the 2024 43rd Annual Small Business Forum Gary Gensler, Chair, Securities and Exchange Commission April 16, 2024
- AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forumon April 16, 2024
AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forum Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation April 16, 2024
- Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024on April 15, 2024
Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 Gurbir Grewal
- There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLCon April 15, 2024
There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLC Commissioner Hester M. Peirce April 15, 2024
- Comment on FinCEN’s AML/CFT Program and SAR Filing for Registered Investment Advisers and Exempt Reporting Advisers Proposalon April 12, 2024
Comment on FinCEN’s AML/CFT Program and SAR Filing for Registered Investment Advisers and Exempt Reporting Advisers Proposal Commissioner Hester Peirce April 12, 2024
- SEC Charges Five Investment Advisers for Marketing Rule Violationson April 12, 2024
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. The five…
- Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Educationon April 8, 2024
Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Education Conference on the Political Economy of Money and Finance Commissioner Hester M. Peirce April 8, 2024
- Filling the Gap: Comments on the Proposal to Amend FINRA’s Codes of Arbitration Procedure and Code of Mediation Procedure to Modify the Qualifications for Representatives in Arbitrations and Mediationson April 8, 2024
Filling the Gap: Comments on the Proposal to Amend FINRA’s Codes of Arbitration Procedure and Code of Mediation Procedure to Modify the Qualifications for Representatives in Arbitrations and Mediations Commissioner Hester M. Peirce April 8, 2024
- Statement on Jury’s Verdict in Trial of Matthew Panuwaton April 6, 2024
Statement on Jury’s Verdict in Trial of Matthew Panuwat
- Statement on Jury’s Verdict in Trial of Terraform Labs PTE Ltd. and Do Kwonon April 5, 2024
Statement on Jury’s Verdict in Trial of Terraform Labs PTE Ltd. and Do Kwon
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18on April 4, 2024
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m.…
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failureson April 3, 2024
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged Senvest…