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Speech By SEC Chairman Mary L. Schapiro: Opening Statement At The SEC Open Meeting—Form ADV Amendments

Date 21/07/2010

Next, we will consider adopting amendments to Form ADV, Part 2. This is the principal disclosure document that investment advisers, who are registered with the SEC, must provide to clients and prospective clients. Commonly referred to as the 'brochure' this document explains the advisers' qualifications, investment strategies, and business practices.
CFTC Releases List Of Areas Of Rulemaking For Over-The-Counter Derivatives

Date 21/07/2010

The Commodity Futures Trading Commission (CFTC) today released the list of 30 areas of rulemaking to implement the Wall Street Reform and Consumer Protection Act. Some of these areas will require only one rule, while others may require more. The CFTC is required to complete these rules generally in 360 days, though some are required to be completed within 90, 180 or 270 days.
Speech By SEC Chairman Mary L. Schapiro: Opening Statement At The SEC Open Meeting—12b-1 Fees

Date 21/07/2010

Good morning. Today, the Commission will take up two matters: First, we will consider proposals that would restructure the way mutual funds pay for the marketing and selling of their shares.
CFTC Chairman Gensler Comments On Enactment Of Wall Street Reform And Consumer Protection Act

Date 21/07/2010

Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today commented on the President’s signing of the Wall Street Reform and Consumer Protection Act.
David W. Blass Named SEC Associate General Counsel For Legal Policy

Date 21/07/2010

The Securities and Exchange Commission today announced that David W. Blass has been named an Associate General Counsel for Legal Policy in the agency's Office of the General Counsel.

Direct Edge Starts Trading as Full Exchange

Date 21/07/2010

Direct Edge formally launched the changeover of its EDGA and EDGX trading platforms into national stock exchanges Wednesday. At 9:30 a.m., the platforms that once were classified as electronic communications networks began trading across all listed stock symbols, as exchanges.
Remarks Of President Barack Obama – Wall Street Reform Bill Signing

Date 21/07/2010

Good morning, everyone. We’re gathered in the heart of our nation’s capital, surrounded by memorials to leaders and citizens who served our nation in its earliest days, and in its days of greatest trial.
SEC Approves Disclosure Form Changes To Provide Investors Greater Information About Their Investment Advisers

Date 21/07/2010

The Securities and Exchange Commission today voted unanimously to adopt changes to the principal disclosure document that SEC-registered investment advisers must provide to their clients and prospective clients.
CalPERS Hails Federal Financial Reform

Date 21/07/2010

The California Public Employees’ Retirement System (CalPERS) , – which has worked for years to achieve significant corporate governance and financial regulatory reform – today praised the new federal financial reform law as an historic step toward protecting markets and advancing shareowner democracy.
FINRA Fines Deutsche Bank Securities $7.5 Million For Negligent Misrepresentations Related To Subprime Securitizations

Date 21/07/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $7.5 million for negligently misrepresenting delinquency data in connection with the issuance of subprime securities.