• RT @SEC_Investor_Ed: ?? How to read an 8-K: LinkO ?? How to read a 10-K LinkwA " https://t.co/BFtkSrWBSm
    SEC_News Thu 18 Apr 2019 14:43
  • Regulation S-P describes the info that must be included in privacy notices, including the categories of nonpublic p… Link
    SEC_News Wed 17 Apr 2019 16:42

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  • Our latest Risk Alert provides a list of compliance issues related to Regulation S-P, the primary SEC rule regardin… Link
    SEC_News Wed 17 Apr 2019 14:02

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  • SEC and FINRA to hold National Compliance Outreach Program for broker-dealers on June 27, 2019 Link
    SEC_News Tue 16 Apr 2019 16:51

    The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.

    The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote a more effective compliance structure for the protection of investors. 

    The SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets, is sponsoring the program with FINRA. The program will be held at the Federal Reserve Bank of Chicago from 9 a.m. to 3 p.m. CT. The program will focus on insights from leadership, protecting retail...

  • RT @SEC_Investor_Ed: What should I know about investment fees? Good question. We can answer that. Watch this video and then check out the…
    SEC_News Tue 16 Apr 2019 15:26
  • We began publishing summary data from Form N-MFP in Oct 2014, showing info going back 2 years. In publishing the d… Link
    SEC_News Mon 15 Apr 2019 19:36

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  • The Commission began receiving data from money market funds on Form N-MFP in November 2010, after the effective dat… Link
    SEC_News Mon 15 Apr 2019 19:36

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  • Our Investment Management Data Analytics Office just released an updated Money Market Fund Statistics report. The r… Link
    SEC_News Mon 15 Apr 2019 19:31

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  • Are you part of the financial technology space and want to chat with us about your project? We’ll be in New York ne… Link
    SEC_News Mon 15 Apr 2019 16:40

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  • RT @Boston_SEC: Saving for retirement is a marathon, not a sprint: Link #BostonMarathon
    SEC_News Mon 15 Apr 2019 16:00

    For most Americans, a retirement savings plan, which you build over time during your working years, is an essential part of securing your retirement.  Learn what you can do, while employed and once retired, to make the most of your investments.

  • Sara Cortes and David Bartels named Deputy Chief Counsels of the Division of Investment Management Link
    SEC_News Mon 15 Apr 2019 15:10

    The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and staff that are responsible for responding to requests for legal and policy guidance, evaluating applications for exemptive relief, coordinating international and legislative technical assistance, and running the division’s enforcement liaison program. Ms. Cortes will oversee the exemptive applications program and Mr. Bartels will oversee the enforcement liaison program. They will share responsibility for staff legal guidance by the Chief Counsel’s Office.

    Ms. Cortes has been a member of the division’s Rulemaking Office since 2013, serving most recently as Assistant Director and head of the Investment Adviser Regulation Office. In that capacity, she has led the development of recommendations for rulemaking and...

  • The Fixed Income Market Structure Advisory Committee meeting will begin at 9:30 a.m. ET today. Agenda: Link
    SEC_News Mon 15 Apr 2019 12:40
  • What is compounding? Link #investortips
    SEC_News Sun 14 Apr 2019 15:59
  • Our framework for determining whether a digital asset is a security: Link #FinHubSEC #Crypto #DLT #Blockchain #FinTech
    SEC_News Sun 14 Apr 2019 13:29

    If you are considering an Initial Coin Offering, sometimes referred to as an "ICO," or otherwise engaging in the offer, sale, or distribution of a digital asset,[2] you need to consider whether the U.S. federal securities laws apply.  A threshold issue is whether the digital asset is a "security" under those laws.[3]  The term "security" includes an "investment contract," as well as other instruments such as stocks, bonds, and transferable shares.  A digital asset should be analyzed to determine whether it has the characteristics of any product that meets the definition of "security" under the federal securities laws.  In this guidance, we provide a framework for analyzing whether a digital asset has the characteristics of one particular type of security – an "investment contract."[4]  Both the Commission and the federal courts frequently use the "investment contract" analysis to...

  • “Working at the SEC, we help out the public, we’re there for the people. When we get out of work, I still think abo… Link
    SEC_News Sat 13 Apr 2019 16:29

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  • Some people help out by volunteering at homeless shelters. This SEC attorney opened up his home as a shelter for ot… Link
    SEC_News Sat 13 Apr 2019 14:23

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  • How do you spread the word about volunteer opportunities? One of our accountants did it by starting a club.… Link
    SEC_News Sat 13 Apr 2019 12:08

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  • RT @SEC_Investor_Ed: Smart investors understand that every investment involves some degree of risk: Link Smart investor…
    SEC_News Fri 12 Apr 2019 18:53

    All investments involve some degree of risk. In finance, risk refers to the degree of uncertainty and/or potential financial loss inherent in an investment decision.  In general, as investment risks rise, investors seek higher returns to compensate themselves for taking such risks.

    Every saving and investment product has different risks and returns.  Differences include: how readily investors can get their money when they need it, how fast their money will grow, and how safe their money will be. In this section, we are going to talk about a number of risks investors face.  They include:

  • SEC charges former Woodbridge directors of investments with fraud Link
    SEC_News Fri 12 Apr 2019 12:37

    The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge owner Robert H. Shapiro. 

    The SEC previously charged Woodbridge and Shapiro, and Woodbridge’s highest-earning unregistered brokers. In January, a federal court in Florida ordered Woodbridge, related companies, and Shapiro together to pay $1 billion for operating this Ponzi scheme.

    According to the SEC’s complaint, although Acevedo and Roseman were not registered in any capacity with the SEC, they were responsible for fraudulently raising at least $1.2 billion from more than 8,400 retail investors, many of them seniors, and together received more than $3 million in...

  • RT @SEC_Investor_Ed: @VAVetBenefits A1: Starting early and creating a financial plan is the best way to secure your financial future. Use t…
    SEC_News Thu 11 Apr 2019 18:32
  • Going on now! Join @SEC_Investor_Ed and @VAVetBenefits #askVBA Link
    SEC_News Thu 11 Apr 2019 18:22

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  • SEC issues agenda for April 15 meeting of the Fixed Income Market Structure Advisory Committee Link
    SEC_News Thu 11 Apr 2019 17:37

    The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  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 webcast live on the SEC’s website, 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 Fixed Income Market Structure Advisory Committee may submit comments either electronically or on paper, as described below.  Please submit comments using one method only.  Information that is submitted will become part of the public record of the meeting.

    Electronic...

  • Chairman Jay Clayton’s full remarks at #SECSpeaks2019 — “Management’s Discussion and Analysis of the SEC”… Link
    SEC_News Wed 10 Apr 2019 16:25

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  • Commissioner Hester Peirce’s full remarks at #SECSpeaks2019 — “SECret Garden: Remarks at SEC Speaks” Link
    SEC_News Wed 10 Apr 2019 15:40

    I would like to begin with the standard disclaimer plus an additional one that ties with the theme of this speech. The views I represent are my own and not necessarily those of the Commission or my fellow Commissioners. The supplemental disclaimer is that the views of the staff are not necessarily those of the Commission either.

    My cousin recently reminded me of a well-known children’s book, The Secret Garden by Frances Hodgson Burnett. The book tells the story of a troubled, young girl who finds herself living with her widowed uncle and troubled cousin on an estate in the wind-swept British moors. The estate has a number of gardens, but one of them has been sealed shut for ten years. The garden is walled and any sign of the erstwhile door is obscured. Even speaking of the garden seems to be frowned upon. Without giving too much of the story away, the girl manages to find the garden door and its buried key. She shares the secret with her cousin and a friend with a...

  • Commissioner Elad Roisman’s full remarks at #SECSpeaks2019 — “Encouraging Smaller Entrants to Our Capital Markets”… Link
    SEC_News Wed 10 Apr 2019 15:20

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