Securities and Exchanges Commission (SEC)Investor Advisory Committee MeetingThursday, March 7, 2024 Topline Panelists debated the SEC’s equity market structure and…

Securities and Exchange CommissionOpen MeetingWednesday, March 6, 2024 Topline Commissioners voted 3-2 in favor of adopting rules to require registrants…

Securities & Exchange CommissionSmall Business Capital Formation Advisory Committee MeetingTuesday, February 27, 2024 Topline The Committee voted to require a…

US Securities and Exchange Commission   Open Meeting  Tuesday, February 6, 2024 Topline  The item was approved by a vote…

US Securities and Exchange Commission   Open Meeting  Wednesday, January 24, 2024 Topline  The rulemaking was approved by a vote…

U.S. Securities and Exchange Commission Open Meeting Wednesday, October 18, 2023 Topline Commissioners voted 3-2 in favor of the volume-based…

US Securities and Exchange Commission Open Meeting Wednesday, August 23rd, 2023 Topline Both items were approved by a vote of…

U.S. Securities and Exchange Commission Open Meeting Wednesday, July 26th, 2023   Topline All three items were approved by the…

U.S. Securities and Exchange Commission Open Meeting Wednesday, July 12, 2023 Topline Both items were approved by the Commission. Item…

U.S. Securities and Exchange Commission Open Meeting Wednesday, June 7, 2023 Topline Both items were approved by the Commission. Item…

U.S. Securities and Exchange Commission Open Meeting Wednesday, May 3, 2023 Topline Both items were approved by a vote of…

U.S. Securities and Exchange Commission Open Meeting Friday, April 14, 2023 Topline Commissioners voted 3-2 to reopen the comment period…

U.S. Securities and Exchange Commission Open Meeting Wednesday, March 22, 2023 Topline Commissioners voted unanimously to approve the staff’s recommendation…

U.S. Securities and Exchange Commission Open Meeting Wednesday, March 15, 2023 Topline The Commission voted unanimously to approve amendments to…

Securities Exchange Commission Investor Advisory Committee Meeting Thursday, March 2, 2023 Topline The Investor Advisory Committee discussed the growth of…

Securities and Exchange Commission Open Meeting Wednesday, February 15, 2023 Topline The Commission voted to advance both agenda items, with…

Securities and Exchange Commission Open Meeting Wednesday, December 14, 2022 Topline The Commission voted to advance all five agenda items,…

Securities and Exchange Commission Investor Advisory Committee Meeting Panel Discussion Regarding Single-Stock ETFs Thursday, December 8, 2022 Topline The witnesses…

Securities and Exchange Commission Open Meeting Wednesday, November 2, 2022 Topline The Commission voted 3-2 to adopt from amendments to…

Securities and Exchange Commission   Open Meeting Wednesday, September 14, 2022   Topline The Commission voted 5-0 to propose amendments…

The SEC Speaks in 2022   Practicing Law Institute Friday, September 9, 2022 Topline In his remarks, SEC Commissioner Mark…

The SEC Speaks in 2022   Practicing Law Institute Thursday, September 8, 2022 Topline Gensler focused his opening remarks on…

Securities and Exchange Commission Open Meeting Wednesday, August 10, 2022 Topline Commissioners discussed whether to adopt Form Private Fund (Form…

Securities and Exchange Commission Small Business Capital Formation Advisory Committee Meeting Tuesday, August 2, 2022 Topline Committee members discussed Regulation…

Securities and Exchange Commission   Open Meeting Wednesday, July 13, 2022 Topline Commissioners voted 3-2 to propose amendments to the…

Securities and Exchange Commission Investor Advisory Committee Open Meeting Thursday, June 9, 2022 Topline The Commissioners focused their remarks on…

Securities and Exchange Commission Open Meeting Wednesday, May 25, 2022 Topline The Commissioners voted 3-1 to propose amendments to the…

House Committee on Appropriations, Subcommittee on Financial Services and General Government FY23 Budget Request for the Securities and Exchange Commission…

Security Exchange Commission Open Meeting Wednesday, April 6, 2022 Topline The Commission unanimously approved the proposed rules relating to security-based…

Securities and Exchange Commission Open Meeting Wednesday, March 30, 2022 Topline The Commission voted 3-1 to propose amendments for SPACs,…

Securities and Exchange Commission Open Meeting Monday, March 21, 2022   Topline The Commission voted to propose amendments that would…

Securities and Exchange Commission Investor Advisory Council Open Meeting Thursday, March 10, 2022 Topline IAC held two panel discussions on…

Securities and Exchange Commission Open Meeting Wednesday, March 9, 2022 Topline The Commission voted 3-1, with Commissioner Hester Peirce voting…

Securities and Exchange Commission Open Meeting Wednesday, February 9, 2022 Topline The Commission approved all three proposals, voting 3-1 for…

Securities and Exchange Commission Open Meeting Wednesday, January 26, 2022 Topline The Commission voted to propose amendments to Form PF…

Securities and Exchange Commission Open Meeting Wednesday, December 15, 2021  10b5-1 and Insider TradingThe Division of Corporation Finance said Rule…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, December 2, 2021 Panel Discussion Regarding Crypto and Digital Assets: Helping…

Securities and Exchange Commission Asset Management Advisory Committee (AMAC) Meeting Wednesday, November 3, 2021 Opening Statements Chair Gary Gensler In…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, September 9, 2021   Panel Discussion: Reimagining Investor Protection in a…

Securities and Exchange Commission Asset Management Advisory Committee (AMAC) Wednesday, July 7, 2021 Welcome and Opening Remarks Chair Gary Gensler…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, June 10, 2021     Panel Discussion Regarding Best Execution and…

Securities and Exchange Commission Open Meeting Wednesday, August 26, 2020 Opening Statements Chairman Jay Clayton In his opening statement, Clayton…

Securities and Exchange Commission Open Meeting Wednesday, July 22, 2020 Opening Statements Chairman Jay Clayton In his opening statement, Clayton…

Securities and Exchange Commission Market Structure Discussion Monday, June 22, 2020 Discussion In his opening remarks, Makan Delrahim, Assistant Attorney…

Securities and Exchange Commission Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices Tuesday, June 16, 2020…

Securities and Exchange Commission Investor Advisory Committee Meeting Monday, May 4, 2020 Welcome Remarks Anne Sheehan, Chair of the Securities…

Securities and Exchange Commission Open Meeting Wednesday, April 8, 2020 Opening Statements Chairman Jay Clayton In his opening statement, Clayton…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, February 27, 2020 Discussion Panels Panel I: Update for Investors Regarding…

Securities and Exchange Commission “Fixed Income Market Structure Advisory Committee Meeting” Monday, February 10, 2020 Discussion Panels Panel I: Credit…

Securities and Exchange Commission Small Business Capital Formation Advisory Committee Meeting Tuesday, February 4, 2020   Opening Statements Jay Clayton,…

Securities and Exchange Commission Investor Advisory Committee Telephonic Meeting Friday, January 24, 2020 Welcome Remarks Anne Sheehan, Chair of the…

Securities and Exchange Commission Small Business Capital Formation Capital Call Thursday, January 23, 2020 Discussion Martha L. Miller, Director, Office…

Securities and Exchange Commission Asset Management Advisory Committee Meeting Tuesday, January 14, 2020 Discussion Panels Discussion I: Evolution of Asset…

U.S. Securities and Exchange Commission Open Meeting Wednesday, January 8, 2020   Key Topics & Takeaways New Consolidated Data Plan:…

Securities and Exchange Commission Open Meeting Wednesday, December 18, 2019   Key Topics & Takeaways Item I: Risk Mitigation Techniques…

Securities and Exchange Commission Small Business Capital Formation Telephonic Meeting Wednesday, December 11, 2019   Key Topics & Takeaways Recommendations…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, November 7, 2019 Opening Statements Commissioner Allison Herren Lee, Securities and…

Securities and Exchange Commission Open Meeting Tuesday, November 5, 2019 Key Topics & Takeaways Item I: Commission Amendments to Exemptions…

Securities and Exchange Commission “Roundtable on Combating Elder Investor Fraud” Thursday, October 3, 2019 Remarks Chairman Jay Clayton In his…

Securities and Exchange Commission Investor Advisory Committee Meeting Thursday, September 19, 2019 Discussion Panels Panel I: Discussion Regarding Methods to…

Securities and Exchange Commission Investor Advisory Committee Telephonic Meeting Thursday, September 5, 2019 Key Topics & Takeaways Recommendation Regarding the…

Securities and Exchange Commission Open Meeting Wednesday, August 21, 2019 Key Topics & Takeaways Item I: Commission Guidance Regarding Proxy…

Securities and Exchange Commission Fixed Income Market Structure Advisory Committee (FIMSAC) Meeting Monday, July 29, 2019   Discussion Panels Draft…

Securities and Exchange Commission (SEC) Investor Advisory Committee Meeting Thursday, July 25, 2019 Discussion Panels Panel I: Discussion of Regulation…

Securities and Exchange Commission Fixed Income Market Structure Advisory Committee Meeting Tuesday, June 11, 2019 Key Topics & Takeaways SEC…

Securities and Exchange Commission Open Meeting Wednesday, June 5, 2019 Matters Considered Item 1: Regulation Best Interest – Standard of…

Securities and Exchange Commission Small Business Capital Formation Advisory Committee Meeting on Small and Emerging Companies Monday, May 6, 2019…

Opening Remarks Commissioner Hester Peirce In her welcome remarks, Peirce remarked that the discussion about unpaid arbitration reflects the fact…

Securities and Exchange Commission (SEC) Roundtable on the Proxy Process Thursday November 15, 2018 Opening Remarks SEC Chairman Jay Clayton…

Securities and Exchange Commission Investor Advisory Committee Telephonic Meeting Wednesday, November 7, 2018 Welcome Remarks and Approval of Minutes of…

Wesley Althoff | [email protected] | 212-313-1129 Securities and Exchange Commission Meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC)…

Securities and Exchange Commission Roundtable on Market Data and Market Access Thursday, October 25, 2018 – Friday, October 26, 2018…

Securities and Exchange Commission Roundtable on Combating Retail Investor Fraud Wednesday, September 26, 2018 Panel One – Types of Fraudulent…

Key Topics & Takeaways                     Amendments to Regulation S-K: The Commission voted 3-0 to propose amendments to Regulation S-K based on…

Key Topics & Takeaways FINRA 360: Several Representatives asked Robert Cook (President and CEO of FINRA) about FINRA 360, the…