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  • Statement On Final Rule Of Inline XBRL Filing Of Tagged Data, SEC Commissioner Kara M. Stein

    Date 28/06/2018

    I would like to join the Chairman in thanking the staff, particularly Anzhela Knyazeva, Hermine Wong, Mike Willis and Scott Bauguess from the Division of Economic and Risk Analysis; David Fredrickson and Mark Green from the Division of Corporation Finance; and John Foley, Michael Pawluk and Sara ten Siethoff from the Division of Investment Management. I would also like to thank Commissioner Piwowar for working with me to bring the proposal forward last year, and Chairman Clayton and my fellow Commissioners for moving forward with a vote on its adoption.

  • Statement At Open Meeting On Investment Company Liquidity Disclosure Adopting Release, SEC Commissioner Hester M. Peirce

    Date 28/06/2018

    Thank you, Chairman Clayton.

    I want to start by thanking the Division of Investment Management. At today’s meeting we are considering three different recommendations, at least in part, from the Division—a reflection of the Division’s impressive work ethic in carrying out an important agenda. Since my arrival here in January, the Division has been busy addressing issues with which the Commission has been grappling for a long time, including the roles and duties of advisers and brokers in assisting retail investors in their investment decisions, fund liquidity, internet availability of shareholder reports, the operation of exchange-traded funds, and the Volcker rule. As someone who started her career at the Commission in a rulemaking office in the Division, I know how unusual it is to put together so many recommendations in such a short period of time, let alone on such significant matters, particularly because the Division did not relax its high standards in the process. I also want to thank the Division of Economic and Risk Analysis (“DERA”) and the Office of General Counsel. DERA and the Office of General Counsel are deeply involved in every rulemaking undertaken by the Commission.

  • Federal Court In Nevada Orders Commodity Futures Software Vendor To Pay More Than $674,000 For Solicitation Fraud And Failing To Register With The CFTC

    Date 28/06/2018

    The Commodity Futures Trading Commission (CFTC) announced today that the Honorable Gloria M. Navarro of the U.S. District Court for the District of Nevada (Las Vegas) entered an Order of Summary Judgment against Defendant Mirko (Mick) Schacke of Brentwood, California (formerly Antioch, California), and a Default Judgment against Schacke’s company, TradeMasters USA, LLC of Las Vegas, Nevada. 

  • Federal Reserve Releases Results Of Comprehensive Capital Analysis And Review (CCAR)

    Date 28/06/2018

    As part of its annual examination of the capital planning practices of the nation's largest banks, the Federal Reserve Board on Thursday did not object to the capital plans of 34 firms and objected to the capital plan of one firm.

  • Statement Of SEC Commissioner Robert J. Jackson, Jr. On Proposed Rules Regarding Exchange Traded Funds

    Date 28/06/2018

    Thank you, Chairman Clayton, and thank you to the terrific Staff in the Division of Investment Management for their work on today’s proposal. I’m especially appreciative to Zeena Abdul-Rahman, Joel Cavanaugh, John Foley, Jay Krawitz, Melissa Gainor, Brian Johnson, Sumeera Younis, Sarah ten Siethoff and Christian Sandoe for the time you spent with me throughout this process.