Twenty Practical Steps to Better Corporate Governance | The Corporate Secretaries International Association (CSIA) Please click the li...
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Bloomberg |
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Bloomberg Big Law Business |
SEC Wraps Up Case Against Adviser Challenging In-House Judges
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Bloomberg Big Law Business |
Senate Committee Set to Vote on SEC Nominee Clayton | Big Law ...
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Trump's SEC Is Shielding Overpaid CEOs
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Above the Law |
The SEC Doesn't Like Your Employment Agreements
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SEC Wraps Up Case Against Adviser Challenging In-House Judges
Bloomberg BNA Former investment adviser Dawn Bennett must pay nearly $4 million for inflating assets and exaggerating investment returns in radio advertisements for her firm, the Securities and Exchange Commission said ( In re Bennett Grp. Fin. Serv., LLC , S.E.C ... |
The Hill |
Week ahead: Senate panel to vote on Trump SEC pick | FDA nominee on the hot seat
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Insider Transactions
Philly.com Securities trades recently reported to the Securities and Exchange Commission by officers, directors, and principal shareholders of corporations based or having sizable employment in the Philadelphia area. Titles are as reported to the SEC. |
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Jobs! Jobs! Jobs!; Senate votes on Trump's SEC pick; Fed talks rates
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ThinkAdvisor |
Senators demand investigation into SEC rule reconsiderations ...
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InvestmentNews |
SEC bars ex-LPL broker already serving 12-year prison sentence
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LeapRate |
FINRA's rule proposal addressing financial exploitation of seniors approved by SEC
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Accounting Today |
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The Securities and Exchange Commission today announced its Equity Market Structure Advisory Committee will meet on April 5 beginning at 9:30 a.m. ET. The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on equity market structure issues.
The meeting will include updates from the four subcommittees, including presentations from the Regulation NMS subcommittee on Rule 611 and the Trading Venues Regulation subcommittee on SRO rule-based limitations of liability and regulatory centralization.
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. It also will be webcast live on the SEC’s website, www.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 the advisory committee may submit comments electronically or on paper. Please submit comments using one method only. Information that is submitted will become part of the public record of the meeting.
Electronic submissions:
Use of the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.
Paper submissions:
Send paper submissions in triplicate to Brent Fields, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090.
All submissions should refer to File Number 265-29, and the file number should be included on the subject line if e-mail is used.
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SEC Equity Market Structure Advisory Committee
Agenda
April 5, 2017
9:30 a.m. Welcoming Remarks by Acting SEC Chair Piwowar, Commissioner Stein, and Acting Director of Trading and Markets, Heather Seidel
10:00 a.m. Regulation NMS Subcommittee Presentation and Preliminary Recommendations Relating to Rule 611
10:10 a.m. Discussion of Rule 611 and Preliminary Recommendations
11:30 a.m. Lunch
12:30 p.m. Trading Venues Regulation Subcommittee Presentation on Regulatory Centralization and Preliminary Recommendations Relating to SRO Rule-Based Limitations of Liability
12:40 p.m. Discussion of Regulatory Centralization and Preliminary Recommendations
2:00 p.m. Break
2:15 p.m. Market Quality Subcommittee Status Report to the Committee
2:45 p.m. Customer Issues Subcommittee Status Report to the Committee
3:15 p.m. Discussion of Next Steps / Adjournment
The Hill |
Senate Dems call for investigation of acting SEC chairman | TheHill
The Hill Four Senate Banking Committee Democrats on Wednesday called for the Securities and Exchange Commission's (SEC) internal watchdog to investigate the ... Four Democrats seek probe into reviews ordered by acting SEC chairSTLtoday.com Democrats demand inspector general probe of acting SEC chair ...Washington Examiner all 9 news articles » |
