What's New at the SEC
November 8 - 15, 2021
News
- Daniel R. Gregus Named Director of Chicago Office
The Securities and Exchange Commission today announced that Daniel R. Gregus has been named Director of the Chicago Regional Office, where he has served as acting co-director since June. Mr. Gregus is a 28-year veteran of the SEC and has held leadership…
Nov 15, 2021 | 14:00 EST
- Entrepreneurship in Rural and Under-Resourced Areas on Agenda for Small Business Capital Formation Advisory Committee Meeting
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Tuesday, Nov. 16, when it plans to explore ways to foster entrepreneurship and capital access in…
Nov 10, 2021 | 15:06 EST
- SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
The Securities and Exchange Commission today announced awards of more than $12.5 million and $2.5 million to two whistleblowers whose information and assistance led to a successful SEC enforcement action. The first whistleblower alerted Commission staff…
Nov 10, 2021 | 13:08 EST
- Registration of Two Digital Tokens Halted
The Securities and Exchange Commission today instituted proceedings against American CryptoFed DAO LLC, a Wyoming-based organization, halting the effectiveness of the company’s registration of two digital tokens as securities. In the SEC’s order…
Nov 10, 2021 | 11:40 EST
- SEC Charges Partner at Global Consulting Firm With Insider Trading
The Securities and Exchange Commission today charged Puneet Dikshit, a partner at a global management consulting firm, with illegally trading in advance of a corporate acquisition by one of the firm’s clients in September. The SEC’s complaint, filed in…
Nov 10, 2021 | 08:50 EST
- SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…
Nov 08, 2021 | 16:35 EST
- SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board
The Securities and Exchange Commission today announced the appointments of Erica Y. Williams as Chairperson and Christina Ho, Kara M. Stein, and Anthony (Tony) C. Thompson as Board members of the Public Company Accounting Oversight Board (PCAOB). Duane…
Nov 08, 2021 | 16:00 EST
- Ahmed Abonamah Named Director of Office of Credit Ratings
The Securities and Exchange Commission today announced that Ahmed Abonamah has been named Director of the agency’s Office of Credit Ratings, where he has served as Acting Director since October 2020. “Ahmed already has proven to be a qualified and…
Nov 08, 2021 | 15:00 EST
Speeches
- The Lessons of Structured Data
The Lessons of Structured Data by Commissioner Caroline A. Crenshaw
Nov 10, 2021 | 15:05 EST
- Prepared Remarks At the Institutional Limited Partners Association Summit
Prepared Remarks of Gary Gensler Chair, Securities and Exchange Commission At the Institutional Limited Partners Association Summit Nov. 10, 2021
Nov 10, 2021 | 12:19 EST
- Remarks at Interagency Convening on Equitable Economic Growth
Prepared Remarks of Gary Gensler Chair, Securities and Exchange Commission Interagency Convening on Equitable Economic Growth
Nov 09, 2021 | 12:37 EST
- 2021 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address
2021 SEC Regulation Outside the United States Scott Friestad Memorial Keynote Address by Gurbir Grewal, Director, Division of Enforcement
Nov 08, 2021 | 11:50 EST
Testimony
Public Statements
- Statement on DeFi Risks, Regulations, and Opportunities
Statement on DeFi Risks, Regulations, and Opportunities By Caroline Crenshaw As published in The International Journal of Blockchain Law, Vol. 1, Nov. 2021.
Nov 09, 2021 | 08:47 EST
- Joint Statement on PCAOB Appointments
Joint Statement on PCAOB Appointments Commissioners Allison Herren Lee and Caroline A. Crenshaw November 8, 2021
Nov 08, 2021 | 16:28 EST
- Statement on Appointments to the PCAOB
Statement on Appointments to the PCAOB Commissioner Hester M. Peirce Commissioner Elad L. Roisman November 8, 2021
Nov 08, 2021 | 16:00 EST
Litigation
- Terraform Labs PTE, Ltd. and Do Kwon
SEC Files Subpoena Enforcement Action Against Terraform Labs and Its CEO
Nov 12, 2021 | 10:21 EST
- Gerald Fauth
SEC Obtains Court Order to Enforce Investigative Subpoena for Testimony
Nov 10, 2021 | 18:12 EST
- CF3 Enterprises, LLC, et al.
SEC Brings Charges in Manipulative Free-Trading Penny Stock Scheme
Nov 09, 2021 | 12:27 EST
- Swapnil J. Rege and SwapStar Capital, LLC
Court Orders Asset Freeze and Other Preliminary Relief Against Recidivist and Barred Investment Adviser and His Firm
Nov 08, 2021 | 16:17 EST
- Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Wins Jury Trial: Hedge Fund Adviser Liable for Securities Fraud
Nov 08, 2021 | 12:20 EST
Administrative Proceedings
- William Wright, CPA
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Nov 12, 2021 | 16:12 EST
- Douglas A. Roth
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Nov 10, 2021 | 13:48 EST
- American Cryptofed DAO LLC
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Nov 10, 2021 | 10:34 EST
- Tommy Shek, CPA
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Independent Accountant
Nov 09, 2021 | 15:17 EST
- Pura Naturals, Inc.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Nov 09, 2021 | 09:30 EST
- United States Commodity Funds LLC and United States Oil Fund, LP
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
Nov 08, 2021 | 16:30 EST
Trading Suspensions
Proposed Rules
Corporate Finance
- Lloyds Banking Group plc
Response of the Office of Mergers and Acquisitions
Nov 12, 2021 | 13:20 EST
Investor Alerts
Investment Management
Federal Register
- Sunshine Act Meetings
Nov 15, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 15, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Nov 15, 2021 | 05:00 EST
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Nov 12, 2021 | 05:00 EST
- Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Nov 12, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Modification to the Permitted Components of the Tracking Baskets of the Putnam Focused Large Cap Growth ETF, Putnam Focused Large Cap Value ETF, Putnam Sustainable Future ETF, and Putnam Sustainable Leaders ETF
Nov 12, 2021 | 05:00 EST
- Performance-Based Investment Advisory Fees
The Securities and Exchange Commission (''Commission'' or ''SEC'') is adopting amendments to the rule under the Investment Advisers Act of 1940 (''Advisers Act'') that permits investment advisers to charge performance-based compensation to ''qualified clients.'' The rule defines ''qualified client'' with reference to specific dollar amount thresholds, which are required to be adjusted every five years to account for the effects of inflation. These amendments replace specific dollar amount thresholds in the rule's ''qualified client'' definition with references to the Commission's ''most recent order,'' as defined by the amended rule, containing the specific dollar amount thresholds adjusted for inflation.
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees on Extension of Eligible Collateral
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Nov 10, 2021 | 05:00 EST
- Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rule Governing Board Determinations Under the Holding Foreign Companies Accountable Act
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Increase Position Limits for Options on Two Exchange-Traded Funds
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Exchange Rules in Connection With the Proposed Merger of BX Equities LLC With and Into the Exchange
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the BX Equities LLC Operating Agreement
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 2616, Priority of Orders
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.330 To Retire the IEX Data Platform Data Product
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Nov 08, 2021 | 05:00 EST
Other Orders and Notices
- Investor Advisory Committee Meeting
Nov 15, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Nov 12, 2021 | 8:00 EST
- Order Determining Whistleblower Award Claim
Nov 10, 2021 | 8:00 EST
Upcoming Events
Meetings
- Small Business Capital Formation Advisory Committee Meeting
Meeting Notice
Nov 16, 2021 | 10:00 EST
- Open Meeting
Sunshine Act Notice
Nov 17, 2021 | 11:00 EST
- Closed Meeting
Sunshine Act Notice
Nov 18, 2021 | 212:00 EST
Appearances
- Treasury Market Conference
agenda and registration details
Nov 17, 2021 | 10:20 EST