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  • U.S. Securities and Exchange Commission Adopts Rules to Modernize Property Disclosures Required for Mining Registrants

    U.S. Securities and Exchange Commission Adopts Rules to Modernize Property Disclosures Required for Mining Registrants




    Washington, DC - - (October 31, 2018) - - The Securities and Exchange Commission (SEC) today announced that it has voted to adopt amendments to modernize the property disclosure requirements for mining registrants, and related guidance, under the Securities Act of 1933 and the Securities Exchange Act of 1934. The amendments will provide investors with a more comprehensive understanding of a registrant’s mining properties, which should help them make more informed investment decisions. The amendments also will more closely align the Commission’s disclosure requirements and policies for mining properties...
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  • Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association October 30

    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association October 30




    (October 31, 2018) - - The Committee convened in a closed session at the Hay-Adams Hotel at 9:00 a.m. All members, with the exception of Terrence Belton and Irene Tse, were present. Counselor to the Secretary Craig Phillips, Deputy Assistant Secretary for Federal Finance Brian Smith, Director of the Office of Debt Management Fred Pietrangeli, and Deputy Director of the Office of Debt Management Nick Steele welcomed the Committee. Other members of Treasury staff present were Ayeh Bandeh-Ahmadi, Chris Cameron, Dave Chung, Tom Katzenbach,...
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  • Acting Assistant Secretary Diana Furchtgott-Roth Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    Acting Assistant Secretary Diana Furchtgott-Roth Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association



    (October 29, 2018) - - Today the U.S. Department of the Treasury published the following "Acting Assistant Secretary Diana Furchtgott-Roth Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association" document: The U.S. economy grew 3.5 percent in the third quarter, according to last week’s advance estimate. This pace confirmed the economy’s strong growth in the wake of the Administration’s tax reforms, deregulatory measures, and other busin...
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  • U.S. Securities and Exchange Commission Investor Advisory Committee to Hold Nov. 7 Telephone Meeting

    U.S. Securities and Exchange Commission Investor Advisory Committee to Hold Nov. 7 Telephone Meeting




    Washington, DC - - (October 25, 2018) - - The Securities and Exchange Commission’s Investor Advisory Committee will meet telephonically on Nov. 7 at 2 p.m. Eastern Time. The public is invited to listen to the meeting live using the dial-in details provided below. A recording of the meeting will be archived on the committee’s webpage for later listening. The committee will discuss the SEC’s Proposed Regulation Best Intere...
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  • U.S. Securities and Exchange Commission Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee

    U.S. Securities and Exchange Commission Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee



    Washington, DC - - (October 24, 2018) - - The Securities and Exchange Commission today released the agenda for the Oct. 29 meeting of the Fixed Income Market Structure Advisory Committee meeting. The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues. The meeting will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., and is open to the public. The meeting will be web...
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  • U.S. Securities and Exchange Commission Launches New Strategic Hub for Innovation and Financial Technology

    U.S. Securities and Exchange Commission Launches New Strategic Hub for Innovation and Financial Technology



    Washington, DC - - (October 18, 2018) - - The U.S. Securities and Exchange Commission today announced the launch of the agency's Strategic Hub for Innovation and Financial Technology (FinHub). The FinHub will serve as a resource for public engagement on the SEC's FinTech-related issues and initiatives, such as distributed ledger technology (including digital assets), automated investment advice, digital marketplace financing, and artificial intelligence/machine learning. The FinHub ...
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  • U.S. Securities and Exchange Commission Announces 2018 Government-Business Forum to Be Held at The Ohio State University

    U.S. Securities and Exchange Commission Announces 2018 Government-Business Forum to Be Held at The Ohio State University



    Washington, DC - - (October 18, 2018) - - The Securities and Exchange Commission today announced it is partnering with the National Center for the Middle Market at The Ohio State University Max M. Fisher College of Business to host the SEC’s annual Government-Business Forum on Small Business Capital Formation on Dec. 12. This annual forum provides a platform to highlight additional measures to improve small...
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  • U.S. Securities and Exchange Commission Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls

    U.S. Securities and Exchange Commission Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls



    Washington, DC - - (October 16, 2018) - - The Securities and Exchange Commission (SEC) today issued an investigative report cautioning that public companies should consider cyber threats when implementing internal accounting controls. The report is based on the SEC Enforcement Division's investigations of nine public companies that fell victim to cyber fraud, losing millions of dollars in the...
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  • U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top

    U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top




    Washington, DC - - (October 11, 2018) - - The Securities and Exchange Commission (SEC) today announced a new strategic plan to guide the agency’s work over the next four years with a primary focus on investors, innovation, and performance. The plan’s goals reflect the agency’s commitment to its longstanding mission while leveraging the opportunities and addressing the challenges that come from fast-evolving markets, products and services. "Our new strategic plan is a concise, straight-forward explanation of the goal...
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  • Securities and Exchange Commission Stops Fraudulent ICO That Falsely Claimed SEC Approval

    Securities and Exchange Commission Stops Fraudulent ICO That Falsely Claimed SEC Approval



    Washington, DC - - (October 11, 2018) - - The Securities and Exchange Commission (SEC) today announced that it has obtained an emergency court order halting a planned initial coin offering (ICO), which backers falsely claimed was approved by the SEC. The order also halts ongoing pre-ICO sales by the company, Blockvest LLC and its founder, Reginald Buddy Ringgold, III. An SEC complaint unsealed yesterday alleges that Blockvest falsely claimed its ICO and its affiliates ...
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  • U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week

    U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week


    Joint Investor Bulletin Issued on Understanding Digital Assets and Online Investing



    Washington, DC - - (October 1, 2018) - - The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor Week, which takes place Oct. 1-7, 2018. SEC staff will emphasize both the basics of investing and savings as well as important emerging issues like the rise of initial coin offerings
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  • U.S. Securities and Exchange Commisssion Awards Almost 4 Million Dollars to Overseas Whistleblower

    U.S. Securities and Exchange Commisssion Awards Almost $4 Million to Overseas Whistleblower



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  • U.S. Securities and Exchange Commission Staff to Host Nov. 15 Roundtable on the Proxy Process

    U.S. Securities and Exchange Commission Staff to Host Nov. 15 Roundtable on the Proxy Process



    Washington, DC - - (September 21, 2018) - - The Securities and Exchange Commission today announced that its staff will host a roundtable on Nov. 15 to hear investor, issuer, and other market participant views about the proxy process and rules. The proxy process is central to investors’ participation in corporate governance at U.S. public companies. The roundtable will focus on key aspects of the U.S. proxy system, including proxy voting mechanics and technology, the shareholder proposal process, and the role an...
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  • U.S. Securities and Exchange Commission Provides Regulatory Relief and Assistance for Hurricane Victims

    U.S. Securities and Exchange Commission Provides Regulatory Relief and Assistance for Hurricane Victims





    Washington, DC - - (September 19, 2018) - - The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents, municipal advisors and others affected by Hurricane Florence. The loss of property, power, transportation, and mail delivery due to the hurricane poses challenges for some individuals and entities that are required...
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  • U.S. Securities and Exchange Commission Names Rebecca J. Olsen as Director of the Office of Municipal Securities

    U.S. Securities and Exchange Commission Names Rebecca J. Olsen as Director of the Office of Municipal Securities



    Washington, DC - - (September 4, 2018) - - The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named Director of the agency's Office of Municipal Securities (OMS). Ms. Olsen has served as OMS's Acting Director since September 2017. The Office of Municipal Securities is responsible for coordinating the SEC's municipal securities activities, including policy development, coordination, and implementation of Commissi...
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