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  • Remarks Before The SEC Advisory Committee On Small And Emerging Companies, SEC Commissioner Kara Stein, May 10, 2017

    Date 10/05/2017

    Good morning and welcome to the first public meeting we are holding with our new Chairman, Jay Clayton. Jay, welcome. This advisory committee is a dedicated and thoughtful group. At each meeting, they bring forth their best ideas about how to support and maintain healthy marketplaces for smaller companies, while maintaining appropriate investor protections. Like me, you will undoubtedly benefit from the Committee’s discussions of issues that are critical to both small and emerging companies and to investors.

  • Alberta Securities Commission Releases Results Of Exempt Market Dealer Sweep

    Date 10/05/2017

    The Alberta Securities Commission (ASC) today issued the results of a recently completed focused compliance review of exempt market dealers (EMDs) in Alberta whose principal regulator is the ASC (the Sweep). The purpose of the Sweep was to determine if registrants are compliant with Alberta securities laws.

  • Nominations For Directors – NZX Limited

    Date 10/05/2017

    As previously announced, NZX will hold its Annual Meeting of shareholders on 30 June 2017 in Wellington. Further details will be advised in the Notice of Annual Meeting in due course.

  • Closing Remarks At North American Securities Administrators Association Section 19(d) Conference, SEC Commissioner Kara M. Stein, Washington D.C., May 9, 2017

    Date 10/05/2017

    It is always a pleasure to participate in the annual Section 19(d) conference.  Since last year’s conference, NASAA and the SEC have deepened our mutual cooperation on matters affecting our markets and investors.  The Memorandum of Understanding and Information Sharing Agreement between the SEC and NASAA, which was signed in February is one example of the coordination we have accomplished since last year.  This forum provides yet another opportunity for us to share ideas and to think broadly about how best to support our mutual goals of protecting investors and the integrity of our markets.

  • New ISDA Animated Video: How Do Derivatives Benefit The Global Economy?

    Date 10/05/2017

    Derivatives play a critical role in helping to reduce the uncertainty that comes from changing interest rates and exchange rates, as well as credit, commodity and equity prices.

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