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  • Rulemaking In The Time Of COVID-19, SEC Commissioner Elad L. Roisman, April 8, 2020

    Date 08/04/2020

    Introduction

    Good afternoon.  I am proud to be part of today’s open meeting—the first that the Commission has held during this unique national crisis.  First and foremost, I hope everyone is healthy and your families are well.  I send my best wishes to all who are facing difficult situations that seemed unthinkable only weeks ago.

  • BOX Exchange: Establishment Of The Cross-Market Regulation Working Group

    Date 08/04/2020

    BOX Exchange LLC (“BOX”) is issuing this regulatory circular to inform Participants of the existence and role of the Cross-Market Regulation Working Group (“CMRWG”), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (“ISG”) to focus on ways to reduce unnecessary regulatory duplication.

  • Statement On The Adoption of Changes To The Offering Rules For Closed-End Funds And Business Development Companies, SEC Commissioner Allison Herren Lee, April 8, 2020

    Date 08/04/2020

    I want to start by recognizing the hard work of the staff in the Division of Investment Management, the Division of Corporation Finance, and the Division of Economic and Risk Analysis. The current circumstances present new and significant challenges to the staff every day, and you have continually done all that is asked of you and more. It would be an understatement to say that the Commission has been busy these past few weeks, and your diligence, professionalism, and commitment to the agency’s mission is an inspiration.

  • MIAX Exchange Group: Establishment Of The Cross Market Regulation Working Group

    Date 08/04/2020

    The MIAX Exchange Group is issuing this regulatory alert to inform MIAX Exchange Group Members of the existence and role of the Cross Market Regulation Working Group (“CMRWG”), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (“ISG”) to focus on ways to reduce unnecessary regulatory duplication.

  • Statement at Open Meeting on Securities Offering Reform for Business Development Companies and Closed-End Investment Companies, SEC Chairman Jay Clayton, April 8, 2020

    Date 08/04/2020

    Good afternoon.  This is an open meeting of the U.S. Securities and Exchange Commission, under the Government in the Sunshine Act.

    Thank you to everyone joining today’s open meeting—the first held since the Commission and staff began working in a largely teleworking environment almost one month ago.  I would like to thank my fellow Commissioners and all of the Commission staff who helped coordinate this meeting, particularly the Office of the Secretary and the Office of Information Technology.  Thanks to their efforts, Commissioners and the presenting staff will be able to discuss today’s recommendation, and interested individuals from across the country—including investors, representatives of market participants, and others—should be able to hear our discussion in real-time.  This open meeting is also being recorded and will be accessible on the Commission’s website.