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  • Statement At Open Meeting On The Proposed Rule 6c-11 Under The Investment Company Act Of 1940 Governing Exchange-Traded Funds - SEC Commissioner Kara M. Stein

    Date 28/06/2018

    Good morning. I would like to join the Chairman in thanking the staff in offices throughout the Commission for their hard work and collaborative effort on this proposed rule for exchange-traded funds and for answering all of my many questions. In particular, I would like to thank Zeena Abdul-Rahman, Joel Cavanaugh, Tim Dulaney, John Foley, Alexander Schiller, Sumeera Younis, Kay-Mario Vobis, Melissa Gainor, Jacob Krawitz, Tim Husson, Brian Johnson, Daniele Marchesani, Christian Sandoe and Sarah ten Siethoff.

  • Issue Of NZX Ordinary Shares

    Date 28/06/2018

    NZX Limited (NZX) advises that it has issued 124,540 NZX Ordinary Shares to Stanley Malcolm (49,816 shares) and Marcelle Ashcroft (74,724 shares).

  • Statement On Adoption Of Amendments To Investment Company Liquidity Disclosure, SEC Commissioner Kara M. Stein

    Date 28/06/2018

    I would like to join Chairman Clayton in thanking the staff for their work on this release—in particular, Zeena Abdul-Rahman, Thoreau Bartmann and Sarah ten Siethoff.

  • 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.

MV 120 X 600 Hard to Reach