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In June 2024, the NYSE submitted a proposal to the SEC to amend Section 302.00 of the NYSE Listed Company Manual to exempt closed-end funds registered under the 1940 Act from the requirement to hold annual shareholder meetings.
SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025
On June 27, 2024 the SEC’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives and priorities for fiscal year 2025, including: (1) Assisting investors victimized by fraud and monitoring the measurable surge in investment fraud schemes; (2) Enhancing Ombuds services to resolve questions, complaints, and concerns about the SEC and self-regulatory organizations (SROs) subject to SEC oversight; (3) Evaluating ways in which broker and adviser standards of conduct might be impacted by technological changes in the market; (4) Exploring means to increase transparency in and maintain investor access to the private markets; (5) Encouraging innovative and effective disclosure through investor testing of existing and proposed disclosures, especially those associated with complex products and private markets; and (6) Increasing investor engagement and input on matters of significance to retail investors.
Biden Nominates Commissioner Crenshaw for a Second Term
On June 13, President Biden announced that he was nominating Commissioner Caroyn Crenshaw for a second term as an SEC Commissioner. Commissioner Crenshaw was unanimously confirmed by the U.S. Senate and sworn into office as Commissioner of the SEC on August 17, 2020.
SEC Appoints Erica Y. Williams to a Second Term as PCAOB Chairperson
On June 11, 2024, the SEC announced the appointment of Erica Y. Williams to a second term as Chairperson of the Public Company Accounting Oversight Board (PCAOB) beginning on Oct. 25, 2024, and running through Oct. 24, 2029.
SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and Practices
On June 5, 2024, the SEC commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. Engaging in a self-assessment provides an opportunity for organizations to closely review their diversity and inclusion policies and practices for any strengths, opportunities, risks, and vulnerabilities. The SEC uses the collected data to assess and report on progress and trends in the diversity activities of regulated entities.
Recommendation of the SEC Investor Advisory Committee regarding Financial Literacy and Investor Education
On June 6, 2024, the SEC IAC published recommendations regarding financial literacy and investor education as follows:
New Options Disclosure Document
On June 18, 2024, FINRA advised member firms the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). To comply with the requirements of FINRA Rule 2360(b)(11)(A)(1), firms may distribute the June 2024 ODD as follows:
A Message to the House of Representatives on the President’s Veto of H.J.Res. 109
On May 31, 2024, President Biden informed the House of his veto of H.J.Res 109, SEC Staff Accounting Bulletin No. 121 (SAB 121), which pertains to the accounting obligations of firms safeguarding crypto assets. According to the President, the resolution “would inappropriately constrain the SEC’s ability to set forth appropriate guardrails and address future issues.”
Cybersecurity Advisory – NIST Releases Version 2.0 of its Cybersecurity Framework
On June 13, 2024, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlighted recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0; the framework is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
Cybersecurity Advisory – SEC Amends Regulation S-P Enhancing Protection of Customer Information (Exchange Act Release No. 35193)
On June 6, 2024, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlighted recent SEC amendments to Regulation S-P: on May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P requirements.
On June 24, 2024, the DOL Employee Benefits Security Administration (EBSA) issued a report to Congress on an interpretive bulletin related to fiduciary standards when selecting an annuity provider for a defined benefit pension plan.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |