The SEC reported on the capital-raising framework recommendations made by participants of the 39th Annual Small Business Forum and the SEC's response to them.
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SEC Division of Investment Management Director Dalia Blass requested industry engagement on (i) fund innovation, (ii) the SEC's derivatives proposal, (iii) affiliated securities lending and (iv) the fund disclosure regime.
In testimony before the U.S. House Committee on Financial Services, SEC Chair Jay Clayton outlined priorities for the agency and reviewed recent accomplishments.
The SEC Office of Investor Education and Advocacy issued an Investor Bulletin regarding certain savings accounts for people with disabilities.
The SEC Division of Trading and Markets provided a broker-dealer with no-action relief concerning covered exchange-traded fund shares for closeout purposes under Regulation SHO.