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Remarks At SEC Speaks 2024 Division Of Examinations Panel, Richard Best, Director, SEC Division Of Examinations, Washington D.C., April 2, 2024
Date 03/04/2024
Good afternoon, everyone!
I’m Rich Best, the Director of the SEC’s Division of Examinations.
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SEC Charges Advisory Firm Senvest Management With Recordkeeping And Other Failures
Date 03/04/2024
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged Senvest with failing to enforce its code of ethics. To settle this matter, Senvest admitted the facts set forth in the Commission’s order, acknowledged that its conduct violated the federal securities laws, and agreed to pay a $6.5 million penalty and to implement improvements to its compliance policies and procedures.
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CFTC Chairman Behnam To Discuss Global Regulatory Priorities At ISDA’s 38th Annual General Meeting
Date 03/04/2024
WHAT:
Chairman Rostin Behnam will discuss global regulatory priorities at ISDA’s 38th Annual General Meeting. A Q&A will follow his remarks.
WHEN:
Tuesday, April 16, 2024
3:50 p.m. – 4:15 p.m. (Tokyo/JT)
2:50 a.m. – 3:15 a.m. (USA/ET)WHERE:
Grand Hyatt, Tokyo
6 Chome-10-3 Roppongi
Minato City, Tokyo, 106-0032, Japan
Additional information: ISDA Annual General Meeting -
MIAX Exchange Group - Options & Equities Markets - Reg SCI / SIFMA BCP Testing On Saturday, October 5, 2024
Date 03/04/2024
Overview:
The MIAX Exchange Group will be participating in the 2024 SIFMA BCP Testing on Saturday, October 5, 2024. All Members that are required to test with MIAX Options, MIAX Pearl Options, MIAX Emerald Options and/or MIAX Pearl Equities Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) were notified on April 2nd and April 3rd, 2024. However, all Members are encouraged to test. -
CFTC Commissioner Pham To Speak At HSBC Global Investment Summit
Date 03/04/2024
WHAT:
Commissioner Caroline D. Pham will speak on a panel titled “The New World of Digital Assets” at HSBC’s Global Investment Summit.
WHEN:
Tuesday, April 9, 2024
2:30 p.m. (Hong Kong/GMT+8)
2:30 a.m. (USA/EDT)WHERE:
Grand Ballroom Level LL
Conrad Hong Kong
88 Queensway
Hong Kong
Additional Information: HSBC Global Investment Summit
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TMX Group Consolidated Trading Statistics - March 2024
Date 03/04/2024
TMX Group Limited today announced March 2024 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), including Alpha-X & Alpha DRK, and Montréal Exchange (MX).
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CalPERS And Stanford Engineering Collaborate To Train The Next Generation Of Institutional Investors
Date 03/04/2024
CalPERS, the largest pension fund in the United States, and Stanford University School of Engineering today announced the creation of a Long-Term Investing Fellowship Program (LTIF) a collaboration to develop the next generation of institutional investors.
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CFTC Chairman Behnam To Participate In An Interview At ISDA’s 38th Annual General Meeting
Date 03/04/2024
WHAT:
Chairman Rostin Behnam will participate in an interview at ISDA’s 38th Annual General Meeting.
WHEN:
Wednesday, April 17, 2024
11:05 a.m. (Tokyo/JT)
Tuesday, April 16, 2024
10:05 p.m. (USA/ET)WHERE:
Grand Hyatt, Tokyo
6 Chome-10-3 Roppongi,
Minato City, Tokyo, 106-0032, Japan
Additional information: ISDA Annual General Meeting -
Opening Remarks, Federal Reserve Chair Jerome H. Powell, At The Stanford Business, Government, And Society Forum, Stanford Graduate School Of Business, Stanford, California
Date 03/04/2024
It is a pleasure to be here today. I will begin with the economy and the road ahead for monetary policy before briefly discussing the Federal Reserve's monetary policy independence.
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We Will Rock You: [1] The Small But Mighty Office Of The Advocate For Small Business Capital Formation, Stacey Bowers, Director, SEC Office Of The Advocate For Small Business Capital Formation, Washington D.C., April 3, 2024
Date 03/04/2024
Good morning. Thank you to PLI for hosting this event and to the audience who has tuned in to listen! Because I love music, you will hear that theme woven in throughout my remarks, and to repeat what will be a familiar refrain today, I am speaking in my official capacity as the Director of the Office of the Advocate for Small Business Capital Formation, and my remarks do not necessarily reflect the views of the Commission, the Commissioners, or other members of the Commission staff.
