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  • Allison Herren Lee Named Acting Chair of the SEC

    Allison Herren Lee Named Acting Chair of the SEC

    Allison Herren Lee Named Acting Chair of the U.S. Securities and Exchange Commission | site |


    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 21, 2021)

    Washington D.C., Jan. 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 said. “I have tremendous respect for my colleagues on the Commission and the exceptional staff across the agency, and look forward to working closely with them. Together we will continue the agency’s work of protecting investors and ensuring market integrity.” “During my time as Commissioner, I have focused on climate and sustainability, and those issues will continue to be a priority for me,” Lee added. Acting Chair Lee was sworn in as Commissio...
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  • Securities and Exchange Commission announces Fee Rate Advisory 2 for Fiscal Year 2021

    U.S. Securities and Exchange Commission announces Fee Rate Advisory #2 for Fiscal Year 2021 | site |




    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 15, 2021) Washington D.C., Jan. 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 Commission a rate of $22.10 per million for covered sales occurring on charge dates through February 24, 2021, and a rate of $5.10 per million for covered sales occurring on charge dates on or after February 25, 2021. The reduction in the fee rate for fiscal year 2021 is due primarily to the substantially higher dollar amount of covered sales in recent months, a trend that began in March of 2020 due to record market volume during the COVID-19 pandemic, which has re...
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  • U.S. Securities and Exchange Commission Issues Over 1.1 Million Dollars to Multiple Whistleblowers

    U.S. Securities and Exchange Commission issues Over $1.1 Million to Multiple Whistleblowers | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 7, 2021)

    Washington D.C., Jan. 7, 2021 - - The Securities and Exchange Commission (SEC) today announced awards totaling more than $1.1 million to five whistleblowers who provided high-quality information that led to successful enforcement actions. In the first order, the SEC awarded three whistleblowers almost $500,000 in connection with two related enforcement actions. The first whistleblower provided information that prompted the opening of an investigation. The second and third whistleblowers provided information that significantly contributed to the success of the actions, and contributed additional, helpful assistance to the investigative staff. In the second order, the SEC awarded nearly $600,000 to a whistleblower whose information cause...
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  • Elad Roisman Named Acting Chairman of the  U.S. Securities and Exchange Commission

    Elad Roisman Named Acting Chairman of the U.S. Securities and Exchange Commission | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 28, 2020)

    Washington D.C., Dec. 28, 2020 - - The Securities and Exchange Commission today announced that President Donald J. Trump has designated Elad L. Roisman as Acting Chairman of the agency.












    Elad L. Roisman

    Photo courtesy SEC)


    "I am humbled and honored to serve as the Acting Chairman," said Acting Chairman Roisman. "During the time I am in this role, I am fully committed to maintaining the steady course that Chairman Clayton charted during his admirable tenure. I look forward to continuing...
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  • U.S. Securities and Exchange Commission Proposes Amendments to Rule 144 and Form 144

    U.S. Securities and Exchange Commission Proposes Amendments to Rule 144 and Form 144 | site |



    Designed to Reduce Risk of Unregistered Distributions


    (Information included in U.S. Securities and Exchange Commission [SEC] press release: December 22, 2020)

    Washington D.C., Dec. 22, 2020 - - The Securities and Exchange Commission today voted to propose an amendment to Rule 144 under the Securities Act of 1933 to revise the holding period determination for securities acquired upon the conversion or exchange of certain "market-adjustable securities." The proposed amendment is intended to reduce the risk of unregistered distributions in connection with sales of those securities. The Commission also voted to propose amendments to update and simplify the Form 144 filing requirements. "Today's proposed amendments modernize, clarify and strengthen Rule 144, including to ensure that holders of market-adjustable securities are assumin...
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  • U.S. Securities and Exchange Commission releases 2020 Office of Credit Rating Reports

    U.S. Securities and Exchange Commission releases 2020 Office of Credit Rating Reports| site |


    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 18, 2020) Washington D.C., Dec. 18, 2020 - - The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization. The annual report discusses, among other topics, the state of competition, transparency, and conflicts of interest among the firms. The exam report provides a comprehensive overview of the Office of Credit Rating (OCR)’s examinations of the NRSROs, including, among other things, the staff’s essential findings and recommendations. “The Office of Credit Ratings and its oversight of the NRSROs is an important aspect of the Commission’s overall focus on investor prote...
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  • U.S. Department of the Treasury Releases Report on Macroeconomic and Foreign Exchange Policies of Major Trading Partners of the United States

    U.S. Department of the Treasury Releases Report on Macroeconomic and Foreign Exchange Policies of Major Trading Partners of the United States | site |


    (Information contained in U.S. Department of the Treasury press release: December 16, 2010) Washington - - The U.S. Department of the Treasury today delivered to Congress the semiannual Report on Macroeconomic and Foreign Exchange Policies of Major Trading Partners of the United States. In this Report, Treasury reviewed and assessed the policies of 20 major U.S. trading partners during the four quarters ending June 2020. The Report concluded that both Vietnam and Switzerland met all three criteria under the Trade Facilitation and Trade Enforcement Act of 2015 (the 2015 Act) during the period under review. Treasury consequently conducted enhanced analysis of Vietnam and Switzerland in the Report and will also commence enhanced bilateral engagement with each country in accordance with the ...
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  • U.S. Securities and Exchange Commission Awards More Than 300,000 Dollars to Whistleblower with Audit Responsibilities

    U.S. Securities and Exchange Commission Awards More Than $300,000 to Whistleblower with Audit Responsibilities | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 14, 2020) Washington D.C., Dec. 14, 2020 - - The Securities and Exchange Commission today announced an award of more than $300,000 to a whistleblower whose high-quality information and continuing assistance significantly contributed to a successful enforcement action. The whistleblower became aware of the potential securities law violations in connection with audit-related responsibilities. Although individuals with audit or compliance responsibilities are generally not eligible for awards, a whistleblower who reasonably believes that an entity is engaging in conduct that would impede the investigation falls within one of the exceptions to that rule. Here, the whistleblower had a reasonable basis to believe that the entity would impede...
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  • U.S. Securities and Exchange Commission Staff Supplements Quarterly Private Funds Statistics

    U.S. Securities and Exchange Commission Staff Supplements Quarterly Private Funds Statistics | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: December 10, 2020)

    Washington D.C., Dec. 10, 2020 - - The Securities and Exchange Commission staff today published an expanded suite of data and analyses of private fund statistics and trends.

    The Private Funds Statistics, released quarterly since October 2015 by the Division of Investment Management’s Analytics Office, offers investors and other market participants valuable insights by aggregating data reported by private fund advisers on Form ADV and Form PF. The most recent version of the report, published today, includes new statistics that offer more detailed reporting of the aggregate investment exposures by asset type for certain hedge funds as well as new analysis of private funds' borrowing, beneficial ownership, and use
    ...
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  • Mr. Robert Stebbins to Conclude Tenure as SEC General Counsel

    Mr. Robert Stebbins to Conclude Tenure as SEC General Counsel

    Mr. Robert Stebbins to Conclude Tenure as U.S. Securities and Exchange Commission General Counsel | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 8, 2020) Washington D.C., Dec. 8, 2020 - - The U.S. Securities and Exchange Commission today announced that Robert B. Stebbins will conclude his tenure as General Counsel in early January, after serving over three and a half years as the agency's chief legal officer. During his tenure, Mr. Stebbins led the Office of the General Counsel (OGC), which includes over 150 professionals and is responsible for supporting a wide range of key functions across the agency. The office advises on all rulemaking, guidance and other Commission and staff policy matters; advises on all Commission enforcement actions; litigates non-enforcement matters and appeals on behalf of the agency; advises on matters related to the Commission's budget, real estate leasing, intelle...
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  • U.S. Securities and Exchange Commission Announces Office Focused on Innovation and Financial Technology

    U.S. Securities and Exchange Commission Announces Office Focused on Innovation and Financial Technology | site |


    FinHub Specialized Unit to Become Stand-Alone Office


    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 3, 2020) Washington D.C., Dec. 3, 2020 — - The Securities and Exchange Commission today announced that the SEC's Strategic Hub for Innovation and Financial Technology, commonly referred to as FinHub, will become a stand-alone office. Valerie A. Szczepanik will continue to lead FinHub as its first director and will report directly to the SEC Chairman. Established within the Division of Corporation Finance in 2018, FinHub has spearheaded agency efforts to encourage responsible innovation in the financial sector, including in evolving areas such as distributed ledger technology and digital assets, automated investment advice, digital marketplace financing, and artificial intellig...
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  • SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC

    U.S. Securities and Exchange Commission Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC | site |


    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: November 23, 2020) Washington D.C., Nov. 23, 2020 - - The Securities and Exchange Commission today issued a Policy Statement and Guidance focused on central counterparties (CCPs) authorized under the European Markets Infrastructure Regulation (EMIR) that may seek to access and operate in the U.S. securities markets. The Statement provides transparency into the Commission’s processes and highlights efficient ways that CCPs based in the European Union (EU) can register as a clearing agency or request exemptions from certain requirements under the Securities Exchange Act of 1934. The SEC has a longstanding and collaborative relationship with its European counterparts with respect to supervision and enforcement of regulate...
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  • SEC Awards Over 1.1 Million Dollars to Whistleblower for Independent Analysis

    SEC Awards Over 1.1 Million Dollars to Whistleblower for Independent Analysis

    U.S. Securities and Exchange Commission Awards Over $1.1 Million to Whistleblower for Independent Analysis | site |


    (November 13, 2020) - - Today the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., Nov. 13, 2020 — The Securities and Exchange Commission today announced an award of over $1.1 million to a whistleblower whose independent analysis led the staff to look at new conduct during an ongoing investigation. The whistleblower’s information and exemplary assistance helped the agency bring an emergency action preventing further investor harm. This whistleblower examined publicly available materials and conducted an analysis that revealed important new insights into the securities law violations, which helped the SEC protect investor assets from dissipation by the wrongdoer. “Today’s award reflects the Commission’s commitment to award whistleblowers who provide high-quality independent analysis,” said Jane ...
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  • SEC Awards More Than 3.6 Million Dollars and $750,000 in Separate Whistleblower Awards

    U.S. Securities and Exchange Commission Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards | site |



    (November 5, 2020) - - On November 5, 2020 the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., Nov. 5, 2020 — The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of over $4.3 million. In the first order, the Commission awarded a whistleblower over $3.6 million for providing important information that alerted the Commission to misconduct occurring abroad. The whistleblower provided substantial and ongoing assistance to enforcement staff, which included traveling to another country at the whistleblower’s own expense to meet with staff in person and providing extensive supporting documentation. In the second order, the Commission awarded $750,000 to a whistleblower who provided significant information that led the Commission...
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  • U.S. Securities and Exchange Commission Awards Over 10 Million Dollars to Whistleblower

    U.S. Securities and Exchange Commission Awards Over $10 Million to Whistleblower | site |



    (October 29, 2020) - - Today, October 29, 2020, the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., Oct. 29, 2020 — The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation. In more than a dozen communications with the staff, the whistleblower provided key evidence, helped decipher communications, and distilled complex issues. "After reporting internally and receiving no satisfactory response, the whistleblower alerted the agency to the securities violation and played a critical role during the investigation," said Jane Norberg, Chief of the SEC's Office of the Whistleblower. "Today's award demonstrates the significant contrib...
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  • Staff Reporter 1
    Allison Herren Lee Named Acting Chair of the SEC
    by Staff Reporter 1
    Allison Herren Lee Named Acting Chair of the U.S. Securities and Exchange Commission | site |


    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 21, 2021)

    Washington D.C., Jan. 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 said. “I have tremendous respect for my colleagues on the Commission and the exceptional staff across the agency, and look forward to working closely with them. Together we will continue the agency’s work of protecting investors and ensuring market integrity.” “During my time as Commissioner, I have focused on climate and sustainability, and those issues will continue to be a priority for me,” Lee added. Acting Chair Lee was sworn in as Commissio...
    01-23-2021, 08:31 AM
  • Staff Reporter 1
    Securities and Exchange Commission announces Fee Rate Advisory 2 for Fiscal Year 2021
    by Staff Reporter 1
    U.S. Securities and Exchange Commission announces Fee Rate Advisory #2 for Fiscal Year 2021 | site |




    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 15, 2021) Washington D.C., Jan. 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 Commission a rate of $22.10 per million for covered sales occurring on charge dates through February 24, 2021, and a rate of $5.10 per million for covered sales occurring on charge dates on or after February 25, 2021. The reduction in the fee rate for fiscal year 2021 is due primarily to the substantially higher dollar amount of covered sales in recent months, a trend that began in March of 2020 due to record market volume during the COVID-19 pandemic, which has re...
    01-19-2021, 11:37 AM
  • Staff Reporter 1
    U.S. Securities and Exchange Commission Issues Over 1.1 Million Dollars to Multiple Whistleblowers
    by Staff Reporter 1
    U.S. Securities and Exchange Commission issues Over $1.1 Million to Multiple Whistleblowers | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release dated: January 7, 2021)

    Washington D.C., Jan. 7, 2021 - - The Securities and Exchange Commission (SEC) today announced awards totaling more than $1.1 million to five whistleblowers who provided high-quality information that led to successful enforcement actions. In the first order, the SEC awarded three whistleblowers almost $500,000 in connection with two related enforcement actions. The first whistleblower provided information that prompted the opening of an investigation. The second and third whistleblowers provided information that significantly contributed to the success of the actions, and contributed additional, helpful assistance to the investigative staff. In the second order, the SEC awarded nearly $600,000 to a whistleblower whose information cause...
    01-10-2021, 12:11 AM
  • Staff Reporter 1
    Elad Roisman Named Acting Chairman of the  U.S. Securities and Exchange Commission
    by Staff Reporter 1
    Elad Roisman Named Acting Chairman of the U.S. Securities and Exchange Commission | site |



    (Information contained in U.S. Securities and Exchange Commission [SEC] press release: December 28, 2020)

    Washington D.C., Dec. 28, 2020 - - The Securities and Exchange Commission today announced that President Donald J. Trump has designated Elad L. Roisman as Acting Chairman of the agency.












    Elad L. Roisman

    Photo courtesy SEC)


    "I am humbled and honored to serve as the Acting Chairman," said Acting Chairman Roisman. "During the time I am in this role, I am fully committed to maintaining the steady course that Chairman Clayton charted during his admirable tenure. I look forward to continuing...
    12-29-2020, 01:34 PM
  • Staff Reporter 1
    U.S. Securities and Exchange Commission Proposes Amendments to Rule 144 and Form 144
    by Staff Reporter 1
    U.S. Securities and Exchange Commission Proposes Amendments to Rule 144 and Form 144 | site |



    Designed to Reduce Risk of Unregistered Distributions


    (Information included in U.S. Securities and Exchange Commission [SEC] press release: December 22, 2020)

    Washington D.C., Dec. 22, 2020 - - The Securities and Exchange Commission today voted to propose an amendment to Rule 144 under the Securities Act of 1933 to revise the holding period determination for securities acquired upon the conversion or exchange of certain "market-adjustable securities." The proposed amendment is intended to reduce the risk of unregistered distributions in connection with sales of those securities. The Commission also voted to propose amendments to update and simplify the Form 144 filing requirements. "Today's proposed amendments modernize, clarify and strengthen Rule 144, including to ensure that holders of market-adjustable securities are assumin...
    12-26-2020, 10:51 PM

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