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  • Keynote Remarks At The Mid-Atlantic Regional Conference, SEC Chairman Jay Clayton, Washington D.C., June 4, 2019

    Date 05/06/2019

    Thank you, Jeff [Boujoukos], for that kind introduction. I am pleased to have the opportunity to speak with the SEC’s federal and state partners in my home town of Philadelphia. Thank you to the Philadelphia Regional Office for organizing this terrific event.

  • SIFMA Statement On The SEC’s Final Regulation Best Interest Rule

    Date 05/06/2019

    SIFMA released the following statement today regarding the final version of Regulation Best Interest, approved by the Securities and Exchange Commission (SEC) today:

    “As written, the SEC’s Regulation Best Interest rule will impose a materially heightened standard of conduct for broker-dealers when serving retail clients. While principles-based, the rule is specific with respect to the duty and obligations brokers owe to their clients, and what steps they must take to comply, including the obligation to eliminate, or disclose and mitigate, certain conflicts of interest. Not even the so-called fiduciary standard under the Investment Advisers Act includes the obligation to eliminate or mitigate conflicts. It is undeniable that this rule will directly enhance investor protection and contribute to increased professionalism among financial service providers,” stated SIFMA President and CEO Kenneth E. Bentsen, Jr.  “Compliance with the rule will not be easy for the industry. Firms will need to make substantial changes. The costs to implement will no doubt be significant, but, we believe, worthwhile to uniformly enhance investor protection to the level investors should and do expect, while preserving investor choice and access to investment advice.”

  • SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, And Consultant

    Date 05/06/2019

    The Securities and Exchange Commission today filed a new fraud action against Longfin Corp. and its CEO for falsifying the company’s revenue and, together with a former Longfin consultant, for fraudulently securing the company’s listing on Nasdaq. The SEC’s prior charges against these defendants and two others resulted in a preliminary injunction freezing more than $27 million in allegedly illegal trading proceeds from unregistered distributions of Longfin stock.

  • Office Of The Comptroller Of The Currency Releases CRA Evaluations For 33 National Banks And Federal Savings Associations

    Date 05/06/2019

    The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of May 1, 2019 through May 31, 2019. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.

  • “Veterans Hall” Dedication On The 75th Anniversary Of D-Day, SEC Chairman Jay Clayton, June 5, 2019

    Date 05/06/2019

    Thank you Darren for those kind remarks. And thank you to the Veteran’s Committee for organizing this important commemoration. I would also like to recognize Katherine Taylor and Carla Hairston and their team in facilities, who did an AMAZING job with the design of this memorial in a short time period. And thank you all for taking the time to be part of this dedication ceremony today. We gather here on the eve of the 75th Anniversary of D-Day, and in the shadow of Memorial Day, to pay our respects to the fallen and to salute all those who serve.

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