On January 11, 2021, the SEC announced that its Small Business Capital Formation Advisory Committee will hold a remote meeting on Friday, January 29, 2021. The event will take place from 10:00 a.m. to 2:30 p.m. ET and will be presented live via webcast on sec.gov for public viewing. The video conference will also be archived on the SEC’s webpage for later viewing. Members of the Small Business Capital Formation Advisory Committee will review matters related to Release Nos. 33-10919 and 34-90882 and File No. 265-32 concerning rules and regulations affecting small and emerging companies and their investors under the federal securities laws. Continue reading "SEC Announces January 29 Virtual Meeting of the..." »

On January 15, 2021, the SEC’s Office of the Advocate for Small Business Capital Formation announced that it will host its second annual Capital Call on Feb. 4, 2020, at 1 p.m. ET. The call, which is entitled “What’s Happening from Startup to Small Cap”, is freely open to the public and will explore current issues that impact small businesses and their investors. Continue reading "SEC’s Small Business Advocate to Hold Capital..." »

On December 18, 2020, the SEC’s Office of the Advocate for Small Business Capital Formation issued its Annual Report for Fiscal Year 2020. This report contains comprehensive data on the state of small business capital formation, as well as a summary of the office’s activities in supporting small business and their investors. The report also includes policy recommendations. This year the report features a discussion of the impacts the COVID-19 pandemic has had on small businesses and small business capital formation. Continue reading "SEC’s Small Business Advocate Releases Its..." »

On November 25, 2020, the SEC announced its virtual Investor Advisory Committee meeting that will take place on Thursday, December 3, 2020. The event will begin at 10:00 a.m. ET and will be presented live via webcast for public viewing on sec.gov. The meeting also will be archived on the Committee’s website for later viewing. Continue reading "SEC Announces Virtual Investor Advisory..." »

The SEC has released the agenda for the Tuesday, December 1, 2020 convening of the Asset Management Advisory Committee (AMAC). The free event will take place from 9 a.m. through 3:30 p.m. ET and will be presented live via webcast on sec.gov. The AMAC was established to provide the SEC with diverse points of view on asset management and related advice and recommendations. The committee is a group made up of outside experts, including parties representing the perspectives of small and large funds, retail and institutional investors, intermediaries, and other market participants.
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On November 17th and 18th, XBRL US held the Investor Forum 2020. This year’s program focused on investor concerns and regulator responses during the market crisis brought on by the ongoing COVID-19 pandemic and the role XBRL can and has played during times of difficulty. Access to high quality, consistent, timely data is a priority especially during periods of market unrest and stability. The Investor Forum, which was also sponsored by the CFA Society of New York, the CFA Institute, and the Zicklin School of Business at Baruch College, addressed how standards have been used to manage investment risk and how they can and should be leveraged further to mitigate future upheaval. Continue reading "XBRL US Holds 2020 Investor Forum" »

On November 3rd, the SEC released the agenda for the upcoming meeting of the Small Business Capital Formation Advisory Committee, which is to be held on Monday, November 9, 2020. The event will take place from 10:00 a.m. through 2:30 p.m. ET and will be presented live via webcast on sec.gov for public viewing. The video conference will also be archived on the SEC’s webpage for later viewing. Continue reading "SEC Announces Agenda for November 9 Virtual..." »

On October 29th, the SEC released the agenda for the November 5, 2020 special meeting of the Asset Management Advisory Committee (AMAC). This committee was formed to provide the SEC with diverse viewpoints on asset management and related advice and recommendations. The event will be webcast live on the SEC’s website beginning at 9:00 a.m. ET and is freely open to the public. The presentation will also be archived on the website for later viewing. Continue reading "SEC Announces Agenda for November 5th Virtual..." »

XBRL US recently announced that it will host a free 60-minute webinar on Wednesday, October 28, 2020 at 3:00 PM EDT, to discuss whether regulators can build an efficient, cost-effective data standards program that establishes a long-term infrastructure while allowing for rapid responses to changing reporting needs. Continue reading "XBRL US to Present October 28 Webinar:..." »

On October 22, the SEC announced that it will host “Women of Color Entrepreneurs on Being Powerful Voices for Access to Capital” on October 28, 2020 at 7 p.m. ET. The virtual forum is a collaborative effort between the SEC’s Atlanta and Los Angeles Regional Offices, and the panel will be moderated by the SEC’s Office of the Advocate for Small Business Capital Formation. Continue reading "SEC to Host Virtual Panel with Women..." »

On October 16th, the SEC announced the agenda and panelists for the Monday, October 26th roundtable which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA). The event will feature the two groups presenting panels discussing initial observations on Regulation Best Interest and Form CRS. Continue reading "SEC Releases Agenda for October 26 Virtual..." »

The SEC and the Commodity Futures Trading Commission (CFTC) announced that their agencies will be partnering to host a virtual open meeting on Thursday, October 22, 2020, at 10:00 am EDT. Continue reading "SEC and CFTC to Host a Virtual Joint Open..." »

On October 7th, the SEC announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers. It will now take place on November 19, 2020. The compliance program is aimed at helping chief compliance officers (CCOs) and other senior personnel at investment companies and investment advisory firms improve their compliance programs for the protection of investors. Continue reading "SEC to Host Virtual National Compliance..." »

On September 28th, the SEC announced that it will host an event on October 26th from 1:00 to 3:00 pm ET, which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA) for a roundtable that was announced in an earlier statement by the Staff Standards of Conduct Implementation Committee. The two groups will discuss initial observations following the June 30, 2020 compliance date for Regulation Best Interest and Form CRS. Continue reading "SEC to Host October 26 Virtual Roundtable on..." »

On September 15th, FERC Chairman Neil Chatterjee announced a new joint venture with Virginia Tech to co-host the next annual EnVision Forum. The two organizations hope the conference will provide an opportunity to explore the technology-driven concerns challenging the energy industry. Continue reading "FERC, Virginia Tech Introduce EnVision 2021..." »