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  • SIFMA: Notice Of Appeal Filed In Legal Challenge To Department Of Labor Rule That Prevents Financial Professionals From Best Serving Retirement Savers

    Date 25/02/2017

    The U.S. Chamber of Commerce, Financial Services Institute, Financial Services Roundtable, Insured Retirement Institute, and Securities Industry and Financial Markets Association (Co-Plaintiffs) issued the following statement on their notice of appeal to the U.S. Court of Appeals for the Fifth Circuit, which was filed today:

    "We remain confident in the merits and strength of our case and stand by our assertion that the Department of Labor exceeded its authority.  We have long supported a best interest standard, adopted by the appropriate regulatory authority and across all individual investor accounts, not just retirement. This is a misguided rule that will harm retirement savers and financial services firms that provide needed assistance and options to their clients, including modest savers and small business employees. Further the 'private right of action' mechanism creates unwarranted litigation risk for financial advisors, who will face the threat of meritless class action lawsuits challenging their every move."

  • Speech Of CFTC Commissioner Sharon Y. Bowen Before The Lawyers For Empowerment And The Advancement Of Diversity (LEAD), Reed Smith, New York, NY

    Date 24/02/2017

    Commissioner Bowen’s Background and Career Path

    Thank you for the kind introduction and good evening everyone. It is a pleasure to be with you tonight to talk about diversity and inclusion. Let me first note that the views expressed today are my own, and do not reflect those of the other Commissioners or Commission staff.

  • Improving Investor Engagement, Rick A. Fleming, Investor Advocate, U.S. Securities And Exchange Commission[1], The SEC Speaks In 2017, Washington, D.C.

    Date 24/02/2017

    Good afternoon. Thank you, Dave (Grim), for your kind introduction. It is a pleasure to be speaking at my third SEC Speaks conference, which happens to fall on the three-year anniversary of my appointment as the Investor Advocate.

  • Supreme Court Of Canada Agrees No Jury Trials For Securities Offences

    Date 24/02/2017

    The Supreme Court of Canada has dismissed two appeals from Alberta defendants seeking a right to trial by jury for Securities Act offences. This decision upholds the December 2015 ruling by the Alberta Court of Appeal in the same matters.

  • Remarks At The “SEC Speaks” Conference 2017: Remembering The Forgotten Investor, Acting Chairman Michael S. Piwowar

    Date 24/02/2017

    Thank you very much, Stephanie [Avakian] and Dave [Grim], for your kind introduction.

    Before I begin, I would like to continue a tradition of the SEC Speaks conference and ask that all current staff members of the Securities and Exchange Commission stand so that we may show them our appreciation. SEC employees devote countless hours of hard work and careful thinking in preparing for this event. Next, I would like all those who have ever served at the Commission to rise. I am certain that I speak for my fellow Commissioner, Commissioner Stein, when I express our gratitude for your many years of loyal service to the agency and to our country. Thank you very much.

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