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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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  • Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020

    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020 | site |




    (November 4, 2020) - - On November 4, 2020 the U.S. Department of the Treasury published the following information:




    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020


    The Committee convened in a closed session via teleconference at 9:30 a.m. All members were present, except for Bob Miller, Ajay Rajadhyaksha, and Irene Tse. Principal Deputy Assistant Secretary for Financial Markets Kipp Kranbuhl, 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,...
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  • Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association | site |



    (November 2, 2020) - - On November 2, 2020, the U.S. Department of the Treasury published the following information:


    Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    The United States was in an historically strong economic position before the SARS-CoV-2 pandemic. Real GDP rose 2.3 percent in 2019 on a Q4/Q4 basis and was poised to maintain a solid pace of growth until the pandemic. In January and February, nonfarm payroll employment rose an average of 232,500 per month, the unemployment rate hovered near the five-decade low of 3.5 percent, and the labor force participation rate reached a six-year high of 63.4 percent. In March, however, th...
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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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  • Fannie Mae Announces 2021 Benchmark Securities Issuance Calendar

    Fannie Mae Announces 2021 Benchmark Securities Issuance Calendar

    Fannie Mae Announces 2021 Benchmark Securities Issuance Calendar | site |



    (October 26, 2020) - - Today, October 26, 2020, the Federal National Mortgage Association (Fannie Mae) published the following information:

    WASHINGTON, DC – Fannie Mae (FNMA/OTC) today announced its 2021 Benchmark Securities® Issuance Calendar. The calendar provides opportunities for investors and other market participants to utilize Fannie Mae Benchmark Securities for their respective investment activities. On a weekly basis, Fannie Mae has the option to auction Benchmark Bills® with maturities of one year or less. The size and maturity of the weekly Benchmark Bills auctions, if any, will be announced on the same day in which the auction occurs. Benchmark Bills auctions generally occur on Wednesdays between 9:00 a.m. and 9:45 a.m. Eastern Time. The 2021 Benchmark Securities Calendar also identifies at least one calendar day per month for a Fannie Mae Benchmark Notes® a
    ...
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  • SEC Updates Auditor Independence Rules

    SEC Updates Auditor Independence Rules

    U.S. Securities and Exchange Commission Updates Auditor Independence Rules | site |



    Amendments Reflect Staff Experience Applying the Auditor Independence Framework



    (October 16, 2020) - - Today, October 16, 2020 the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Oct. 16, 2020 — The Securities and Exchange Commission today announced that it adopted final amendments to certain auditor independence requirements in Rule 2-01 of Regulation S-X. Informed by decades of staff experience applying the auditor independence framework, the final amendments modernize the rules and more effectively focus the analysis on relationships and services that may pose threats to an auditor’s objectivity and impartiality.

    The final amendments reflect updates based on recurring fact patterns that the Commission staff has observed over years of consultations in which certain relationships
    ...
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  • U.S. Securities and Exchange Commission Charges Ponzi Scheme Targeting African Immigrants

    U.S. Securities and Exchange Commission Charges Ponzi Scheme Targeting African Immigrants | site |




    (August 28, 2020) - - Today, August 28, 2020, the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Aug. 28, 2020 — The Securities and Exchange Commission today charged two Maryland companies and their principals for a scheme that allegedly defrauded approximately 1,200 investors, many of them African immigrants, of more than $27 million.

    According to the SEC’s complaint, Dennis Jali, John Frimpong, and Arley Johnson, directly and through their companies 1st Million LLC and The Smart Partners LLC, falsely told investors that their funds would be used by a team of skilled and licensed traders for foreign exchange and cryptocurrency trading, promising risk-free returns of between 6% and 42%. The complaint alleges that the defendants often targeted vulnerable African immigrants
    ...
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  • U.S. Securities and Exchange Commission Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee

    U.S. Securities and Exchange Commission Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee | site |



    (May 21, 2020) - - Today (May 21, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., May 21, 2020 — The Securities and Exchange Commission today released the agenda for the May 27 meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management and related advice and recommendations. The meeting will include a discussion of matters relating to AMAC’s subcommittees and to COVID-19 and the asset management industry. The meeting will be held by remote means and is open to the public. The meeting will be webcast live on SEC.gov and will be archived on the website for later viewing. Members of the public who wish to provide their views on the matters to be considered by AMAC may submit comments either
    ...
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  • U.S. Securities and Exchange Commission Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus

    U.S. Securities and Exchange Commission Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus | site |


    Permits Funds to Use Additional Funding and Other Tools to Manage their Portfolios for the Benefit of Investors



    (March 23, 2020) - - Today (March 23, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., March 23, 2020 —The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds from certain affiliates and to enter into certain other lending arrangements. Today’s relief is designed to provide funds with additional tools to manage their portfolios for the benefit of all shareholders as investors may seek to rebalance their investments. “Today’s temporary action will provide an additional tool that funds can use to manage their portfolios for the bene...
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  • SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions

    U.S. Securities and Exchange Commission Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor | site |





    (March 21, 2020) - - Today (March 21, 2020) the U.S. Securities and Exchange Commission (SEC) published the following information: Washington D.C., March 21, 2020 — The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by New York Stock Exchange LLC (NYSE) to facilitate electronic auctions in light of its decision to temporarily close its New York trading floor. NYSE announced that it will temporarily close its trading floor effective Monday, March 23, as a precautionary measure in response to COVID-19. The NYSE rule filing modifies certain rules to set wider price parameters, and to remove volume limits, within which NYSE designated market makers (DMMs) can facilitate auctions in an electron...
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  • U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors

    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors | site |



    Enhanced Website Improves Main Street Investor Experience



    (February 24, 2020) - - Today (February 24, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Feb. 24, 2020 — The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting entities and four fictitious regulators. Additionally, the SEC is announcing enhancements to the PAUSE website, where the SEC provides the list of entities that falsely claim to be registered, licensed, and/or located in the United States, as well as entities that impersonate genuine U.S. registered securities firms and fictitious regulators, governmental agencies, or international organizations. This will allow Main Street
    ...
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  • U.S. Securities and Exchange Commission Investor Advisory Committee to Meet on February 27

    U.S. Securities and Exchange Commission Investor Advisory Committee to Meet on February 27| site |



    (February 7, 2020) - - Today (February 7, 2020), the U.S. Securities and Exchange Commission (SEC) published the following:

    The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on Feb. 27. The meeting will begin at 9:30 a.m. ET in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C., and is open to the public. The meeting will be webcast live and archived on the committee's website for later viewing.

    The committee will hold two panel discussions: an update for investors regarding accounting and auditing trends, and a discussion regarding the potential impact of the LIBOR transition on investors. The full agenda is available here. Members of the committee represent a wide variety of investor interests, including those of individual and institutional investors, senior citi
    ...
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  • U.S. Securities and Exchange Commission announces Fee Rate Advisory Number 2 for Fiscal Year 2020

    U.S. Securities and Exchange Commission announces Fee Rate Advisory #2 for Fiscal Year 2020| site |



    (January 9, 2020) - - Today (January 9, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Jan. 9, 2020 — The Securities and Exchange Commission announced that starting on Feb. 18, 2020, the fee rates applicable to most securities transactions will be set at $22.10 per million dollars.

    Consequently, each SRO will continue to pay the Commission a rate of $20.70 per million for covered sales occurring on charge dates through Feb. 17, 2020, and a rate of $22.10 per million for covered sales occurring on charge dates on or after Feb. 18, 2020.

    For more information on the term “charge date,” please refer to Rule 31(a)(3) and Exchange Act Release No. 49928. The assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction
    ...
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  • Staff Reporter 1
    SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC
    by Staff Reporter 1
    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...
    11-25-2020, 06:37 AM
  • Staff Reporter 1
    SEC Awards Over 1.1 Million Dollars to Whistleblower for Independent Analysis
    by Staff Reporter 1
    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 ...
    11-13-2020, 11:45 PM
  • Staff Reporter 1
    SEC Awards More Than 3.6 Million Dollars and $750,000 in Separate Whistleblower Awards
    by Staff Reporter 1
    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...
    11-10-2020, 12:38 AM
  • Staff Reporter 1
    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020
    by Staff Reporter 1
    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020 | site |




    (November 4, 2020) - - On November 4, 2020 the U.S. Department of the Treasury published the following information:




    Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association November 3, 2020


    The Committee convened in a closed session via teleconference at 9:30 a.m. All members were present, except for Bob Miller, Ajay Rajadhyaksha, and Irene Tse. Principal Deputy Assistant Secretary for Financial Markets Kipp Kranbuhl, 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,...
    11-06-2020, 06:51 PM
  • Staff Reporter 1
    Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association
    by Staff Reporter 1
    Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association | site |



    (November 2, 2020) - - On November 2, 2020, the U.S. Department of the Treasury published the following information:


    Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    The United States was in an historically strong economic position before the SARS-CoV-2 pandemic. Real GDP rose 2.3 percent in 2019 on a Q4/Q4 basis and was poised to maintain a solid pace of growth until the pandemic. In January and February, nonfarm payroll employment rose an average of 232,500 per month, the unemployment rate hovered near the five-decade low of 3.5 percent, and the labor force participation rate reached a six-year high of 63.4 percent. In March, however, th...
    11-06-2020, 07:40 AM

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