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U.S. Federal Reserve Chairman Ben S. Bernanke Semiannual Monetary Policy Report To The Congress Before The Committee On Banking, Housing, And Urban Affairs, U.S. Senate, Washington, D.C.

Date 21/07/2010

Chairman Dodd, Senator Shelby, and members of the Committee, I am pleased to present the Federal Reserve's semiannual Monetary Policy Report to the Congress.
Speech By SEC Commissioner Kathleen L. Casey: Statement At SEC Open Meeting — Mutual Fund Distribution Fees (Rule 12b-1 Fees)

Date 21/07/2010

I’d like to join the Chairman in thanking the Staff of the Division of Investment Management for its work in developing this Proposing Release, as well as all the other Divisions that participated in the process.
Susan Axelrod Named FINRA Executive Vice President, Sales Practice - Axelrod Succeeds Retiring Robert Errico, Appointment Effective Immediately

Date 21/07/2010

The Financial Industry Regulatory Authority (FINRA) today announced the appointment of Susan F. Axelrod as Executive Vice President and head of the organization's Member Regulation Sales Practice area. Axelrod, whose new position is effective immediately, succeeds Robert C. Errico, who retired last month.
Speech By SEC Commissioner Elisse B. Walter: Opening Statement At SEC Open Meeting — Mutual Fund Distribution Fees (Rule 12b-1 Fees)

Date 21/07/2010

I too would like to thank the staff, and especially the Division of Investment Management, Buddy Donohue, Bob Plaze, Hunter Jones, Diane Blizzard, Thoreau Bartmann, and Daniel Chang, for their hard work on the recommendations before us today. 12b-1 fees have raised thorny issues for many years, and the staff has labored long, and well, to address them. I am glad that we are here today with a proposal before us. I support the staff's recommendations, and believe they take a thoughtful approach to
Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Adopt Amendments Regarding Part 2 Of Form ADV

Date 21/07/2010

Thank you, Chairman Schapiro. I support the recommendation to amend Part 2 of Form ADV and want to speak to just one topic. As the release explains, the Commission received a number of comments on the means by which an adviser is permitted to deliver its updated brochure to investors annually. Under the Form, electronic delivery is to be in accordance with the Commission's 1996 electronic delivery guidelines.

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.