The SEC, the Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) jointly will host a virtual Compliance Outreach Program especially designed to help municipal market participants better understand their compliance obligations. Staff from each organization will address the current state of the examination, enforcement, and regulatory framework, and will discuss what lies ahead. The outreach event will take place on Thursday, December 7, 2023, from 10:30 a.m. – 4:30 p.m. ET. This webcast is free and open for the public to attend but registration is required. {expires: 2023-12-08} Continue reading "SEC, MSRB, FINRA to Co-Sponsor Compliance..." »

The SEC’s Small Business Capital Formation Advisory Committee will hold an open meeting via webcast on sec.gov to discuss matters concerning rules and regulations affecting small and emerging businesses and their investors under the federal securities laws. The meeting will take place on Wednesday, November 29, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-11-30} Continue reading "SEC’s Small Business Capital Formation Advisory..." »

The FERC staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, November 16, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2023-11-17} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »

The SEC’s Division of Trading and Markets will hold an open meeting concerning volume-based exchange transaction pricing for NMS stocks via webcast on sec.gov. The web meeting will take place on Wednesday, October 18, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-10-19} Continue reading "SEC’s Division of Trading and Markets to..." »

The FERC staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, October 19, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2023-10-20} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »

The SEC’s Division of Trading and Markets will hold an open meeting via webcast on sec.gov concerning the reporting of securities loans and short position and activity reporting. The meeting will take place on Friday, October 13, 2023 at 9:30 a.m. ET. The meeting is free and open for the public to attend. {expires: 2023-10-14} Continue reading "SEC’s Division of Trading and Markets to..." »

The SEC has announced that World Investor Week (WIW) 2023 will focus on the significance of investors taking time to do due diligence, and how doing so may help them avoid fraud and to make better informed investment decisions. The event, which also emphasizes investor education and protection, takes place online and in person October 2 through October 8, 2023. {expires: 2023-10-09} Continue reading "SEC Hosts World Investor Week 2023 Centered on..." »

The SEC’s Investor Advisory Committee will hold an open meeting via webcast on sec.gov that will take place on Thursday, September 21, 2023, at 10:00 a.m. ET. The meeting is free and open for the public to attend. It will cover committee matters, including topics pertaining to Regulation D and swing pricing. {expires: 2023-09-22} Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

The Federal Energy Regulatory Commission’s (FERC) staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, September 21, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend.{expires: 2023-09-22} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »

The SEC’s EDGAR Business Office will host a webinar that will include an overview of the EDGAR Next proposing Beta and a presentation of the functionality contained in the potential technical updates to EDGAR. The webinar will take place on Tuesday, September 19, 2023, from 12:00 p.m. to 1:00 p.m. ET. The webinar is free and open for the public to attend. {expires: 2023-09-20} Continue reading "SEC’s EDGAR Business Office to Present Demo on..." »

The SEC’s Division of Investment Management will hold an open meeting via webcast on sec.gov that will take place on Wednesday, September 20, 2023, at 10:00 a.m. ET. The meeting is free, open for the public to attend, and will address issues relating to misleading investment disclosures, among other topics. {expires: 2023-09-21} Continue reading "SEC’s Division of Investment Management to Hold..." »

The SEC’s Small Business Capital Formation Advisory Committee will hold an open meeting via webcast on sec.gov to discuss matters concerning rules and regulations affecting small and emerging businesses and their investors under the federal securities laws. The meeting will take place on Tuesday, September 19, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-09-20} Continue reading "SEC’s Small Business Capital Formation Advisory..." »

The SEC’s Division of Trading and Markets staff will hold an open meeting via webcast on sec.gov on Wednesday, September 6, 2023, at 10:00 a.m. ET concerning the CAT NMS Plan. The meeting is free and open for the public to attend. {expires: 2023-09-07} Continue reading "SEC’s Division of Trading and Markets to Hold..." »

SEC staff will hold an open meeting via webcast on sec.gov on Wednesday, August 23, 2023, at 10:00 a.m. EDT. The meeting will focus on private fund and investment advisor compliance, is free, and open for the public to attend. {expires: 2023-08-24} Continue reading "SEC’s Division of Investment Management and..." »

The FERC, in conjunction with the North American Electric Reliability Corporation (NERC), will hold a conference via webcast on ferc.gov on Thursday, August 10, 2023, from 9:00 a.m. – 4:30 p.m. EDT. The meeting will cover topics pertaining to the physical security of the Bulk-Power System. The conference is free and open for the public to attend but registration is required. {expires: 2023-08-11} Continue reading "FERC, NERC to Host Joint Physical Security..." »