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  • Irish Stock Exchange: Winners Of The 2016 Published Accounts Awards Announced

    Date 21/11/2016

    The winners of the 2016 Published Accounts Awards (PAA) were announced on Friday, 19 November. The Awards, which took place in The Mansion House in Dublin, saw 26 public and private companies, including not-for-profit organisations, compete as finalists across eight distinct award categories.

  • SEC Announces Agenda For December 8 Investor Advisory Committee Meeting

    Date 21/11/2016

    The Securities and Exchange Commission today announced the agenda for the December 8 meeting of its Investor Advisory Commitee. The meeting will commence at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to the public. The meeting will be webcast live and archived on the Committee’s website for later viewing.

  • CFTC Unanimously Approves Final Rule Amendments To Its Regulations Regarding CPO Financial Reports

    Date 21/11/2016

    The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has unanimously approved amendments to its regulations applicable to the financial reports that commodity pool operators (CPOs) are required to provide on their pools’ operations. The amendments announced today incorporate into CFTC regulations relief that, to date, has been available through exemptive or no-action letters.

  • MIAX Options Exchange: New MIAX Rules Regarding Disruptive Activity And Expedited Proceedings

    Date 21/11/2016

    MIAX has adopted two new rules, MIAX Rule 322, Disruptive Quoting and Trading Activity Prohibited, to prohibit disruptive quoting and trading on the Exchange and MIAX Rule 1018, Expedited Suspension Proceeding, permitting MIAX to take prompt action to suspend Members or clients that violate MIAX Rule 322.

  • Moving Forward With The Commission's Disclosure Effectiveness Initiative, Rick A. Fleming, Investor Advocate, U.S. Securities And Exchange Commission[1], NASAA Corporation Finance Training, Houston, Texas, Nov. 19, 2016

    Date 21/11/2016

    Thank you, Bill [Beatty], for that kind introduction and for not only inviting me to participate in this event today, but for accommodating my schedule so I could make it work.  It is nice to be back among my NASAA friends.

    As you all may be aware, the Commission has undertaken a comprehensive “Disclosure Effectiveness Initiative” to review and modernize public company reporting requirements in Regulation S-K and Regulation S-X.  The initiative is, at least in part, responsive to congressional mandates found in the JOBS Act and the FAST Act.   The JOBS Act, as you know well, introduced a number of exemptions from disclosure and capital-raising requirements for emerging companies.  The more recent FAST Act requires the Commission to revise Regulation S-K “to further scale or eliminate requirements” in order to reduce the burden on smaller and emerging companies, and to eliminate provisions that are “duplicative, overlapping, outdated, or unnecessary.”