Wednesday, December 01. 2021

SEC Approves New Rules for Universal Proxy Cards in Contested Director Elections

On November 17th, the SEC revised rules to allow shareholders to vote for their preferred combination of board nominees in contested elections. Under new Rule 14a-19, it will be mandatory for management or shareholders to use universal proxy cards when soliciting proxy votes for their own candidates in contested director elections. The rule requires that universal proxy cards list the names of all director candidates for an election at an upcoming shareholder meeting, whether or not the candidates were nominated by management or shareholders. Much like voting in person, the modifications will provide shareholders equal voting opportunity even when voting by proxy. Continue reading "SEC Approves New Rules for Universal Proxy..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 10:00

Monday, November 22. 2021

SEC to Host Investor Advisory Committee Meeting

The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Thursday, December 2, from 10:00 a.m. until 4:00 p.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. {expires: 2021-12-03} Continue reading "SEC to Host Investor Advisory Committee Meeting" »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 17:36

Tuesday, November 09. 2021

SEC Adopts PCAOB Rule 6100 Establishing Framework for Determinations Under the Holding Foreign Companies Accountable Act

On November 5th, the SEC announced that it has adopted the Public Company Accounting Oversight Board’s (PCAOB) Rule 6100, Board Determinations Under the Holding Foreign Companies Accountable Act (HFCAA). The rule introduces the structure for the PCAOB’s findings under the HFCAA and underscores investor protection measures Continue reading "SEC Adopts PCAOB Rule 6100 Establishing..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 18:05

Friday, October 22. 2021

SEC Issues Staff Report on Equity and Options Market Structure Conditions in Early 2021

On October 18th, the SEC staff published Equity and Options Market Structure Conditions in Early 2021, a comprehensive analysis of the January 2021 trading activity of GameStop Corp (GME), the most notable of the “meme stocks”. Meme stocks are stocks that rise dramatically in price over a short period because of a sudden increase in online or social media interest, resulting in an investing surge. The report details such incidents as well as areas that merit further study and potential consideration. Continue reading "SEC Issues Staff Report on Equity and Options..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 10:20

Monday, September 20. 2021

SEC and University of Georgia to Hold a Forum on Trends and Risks for Retail Investors

The SEC’s Atlanta Regional Office and the University of Georgia School of Law jointly will host a webcast for retail investors entitled “Money and Markets: Trends and Risks for Retail Investors”. The remote event takes place on Tuesday, October 5, 2021, from 5:00 p.m. to 6:15 p.m. ET. {expires: 2021-10-06} Continue reading "SEC and University of Georgia to Hold a Forum..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 10:18

Wednesday, September 15. 2021

FASB Publishes 2021 Investor Outreach Report

The Financial Accounting Standards Board (FASB) recently issued its 2021 Investor Outreach Report, which is now available through the FASB’s Investor Web Portal. The report details the investor outreach program, the program’s activities during the last year, and the ways the FASB intends to continue expanding on its goals to broaden investor outreach efforts. Continue reading "FASB Publishes 2021 Investor Outreach Report" »
Posted by
The Novaworks Team
in FASB News, Investor Education at 18:15

Wednesday, September 01. 2021

SEC Closely Observing Effects of Hurricane Ida on Capital Markets

The SEC has announced that it will be carefully monitoring the impact and developments affecting investors and capital markets since Hurricane Ida made landfall on August 29, 2021. Continue reading "SEC Closely Observing Effects of Hurricane Ida..." »
Posted by
The Novaworks Team
in Investor Education, SEC Filing Help at 13:38

Thursday, August 19. 2021

SEC Regional Office to Host a Virtual Town Hall to Discuss Trends Related to Consumer Fraud, Investment Fraud, and Digital and Cryptocurrencies

The SEC’s Atlanta Regional Office, the Better Business Bureau, the Tennessee Financial Literacy Commission, and the Tennessee Department of Commerce and Insurance will jointly convene an online town hall to address both consumer and investment fraud and the rise of digital and cryptocurrencies. The event will take place on Wednesday, August 25, 2021, from 11:00 a.m. - 12:00 p.m. ET. The interactive session requires no registration and is free and open to the public. {expires: 2021-08-26} Continue reading "SEC Regional Office to Host a Virtual Town Hall..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 10:28

Tuesday, July 13. 2021

SEC and UN to Host Webinar on the Impact of Climate Change on Global Financial Markets

The Chair of the SEC, Gary Gensler, and the UN Principles for Responsible Investment will join to discuss climate change and its effect on global financial markets. The issue is part of the SEC’s Regulatory Agenda released June 2021. The 45-minute event will take place on Wednesday, July 28, 2021 at 10:30 a.m. ET. The event is free and open to the public, but registration is required. {expires: 2021-07-29} Continue reading "SEC and UN to Host Webinar on the Impact of..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 09:53

Tuesday, June 29. 2021

SEC Launches Public Service Campaign Encouraging Consistent Investing

The SEC’s Office of Investor Education and Advocacy (OIEA) introduced a new public service campaign on June 23, 2021 as an outreach effort featuring two short videos that aim to educate investors, notably the underserved, on the benefits of investing. With the objective of ensuring investors have access to accurate, useful information, the SEC is also promoting the free financial planning tools and information available on the SEC’s online investor resource, investor.gov. The SEC intends to reach the greatest number and variety of people as possible through these web resources. Continue reading "SEC Launches Public Service Campaign..." »
Posted by
Margaret Gardner
in Investor Education, SEC at 09:29

Monday, June 28. 2021

SEC Regional Office, Other Agencies Collaborate to Hold Virtual Investment and Consumer Fraud Webinar

The SEC’s Atlanta Regional Office (ARO), Operation HOPE, the Federal Trade Commission, and the Georgia Secretary of State Securities and Charities Division have partnered to host a virtual outreach event focusing on recognizing and avoiding investment and consumer fraud. The event will take place on June 29, 2021, at 11:00 a.m. ET. {expires: 2021-06-30} Continue reading "SEC Regional Office, Other Agencies Collaborate..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 14:45

Monday, June 21. 2021

SEC, NASAA, and FINRA Announce Free Training Resources to Assist Firms with Protecting Seniors from Financial Exploitation

On June 15, 2021, in recognition of World Elder Abuse Awareness Day, the SEC announced its collaboration with regulatory counterparts, the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA), to develop a free, online training program focused on protecting senior investors. The resource, entitled “Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors”, fulfills implementation requirements pursuant to the Senior Safe Act of 2018.
Continue reading "SEC, NASAA, and FINRA Announce Free Training..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 14:59

Monday, June 14. 2021

SEC Revises List of Entities Soliciting Investors with Inaccurate Information

On June 9, 2021, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors, adding 55 soliciting entities, five bogus regulators, and four impersonators of real firms. Continue reading "SEC Revises List of Entities Soliciting..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 09:42

Thursday, May 27. 2021

SEC to Host Investor Advisory Committee Meeting

The SEC has announced its virtual Investor Advisory Committee meeting that will take place on June 10, 2021, beginning at 10:00 a.m. EDT. The public may attend the free event which will be presented live via webcast at sec.gov. The meeting will also be archived on the Committee’s website for later viewing.

Continue reading "SEC to Host Investor Advisory Committee Meeting" »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 16:12

Tuesday, May 25. 2021

SEC Regional Office, Retail Strategy Task Force to Host Webinar: Hot Topics for Retail Investors

The SEC’s New York Regional Office and the Retail Strategy Task Force, in conjunction with the Fordham University Gabelli School of Business, will hold a webinar on Tuesday, June 8, 2021, from 5:00 p.m. – 6:00 p.m. EDT focusing on timely and relevant topics for modern investors. With the ease of online access, trading and investing tools, and zero commission trading, there has been a rise in new investors trading on the securities markets over the past year. Interested parties will learn pertinent information that new investors should consider when trading or investing. {expires: 2021-06-09} Continue reading "SEC Regional Office, Retail Strategy Task Force..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 11:33
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