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March 23, 2015

An SEC notice of the upcoming Investor Advisory Committee meeting was published in the Federal Register. The meeting is scheduled for April 9, 2015. The agenda includes (i) the CFTC's investor behavior survey results, (ii) background checks as a means of addressing elder financial abuse; and (iii) proxy access and the SEC staff review of Exchange Act Rule 14a-8(i)(9). Written statements regarding the meeting must be submitted by April 9, 2015. See: 80 FR 15260.

September 23, 2015

The SEC issued an investor alert that educates investors about warning signs and red flags for investment scams offered on the radio. The SEC cautioned that while many radio programs that discuss investments are legitimate and operate under the law, these radio programs could also be a part of a fraudulent scheme designed to deceive investors or the public at large. Such schemes could include touting, "pump and dump," scalping and ponzi schemes. The alert also listed warning signs of potential investment fraud, such as promises of high investment returns and pressure to buy "right now."

December 01, 2015

The SEC warned investors that exchange-traded notes ("ETNs") "are complex and involve many risks for investors, including in the loss of [one's] entire investment." In its latest investor bulletin, the SEC recommended that, before purchasing an ETN, an investor should consider: whether ETNs are a suitable investment for the investor; what fees are associated with an ETN; whether the investor understands how the ETN's reference index or benchmark is calculated; whether the investor understands how the indicative values and redemption values are calculated and what they measure; and whether the

December 16, 2015

SEC Division of Investment Management ("IM") Director David Grim summarized the SEC's 2015 rulemaking initiatives in derivatives, liquidity management, and registered funds reporting, and the SEC's 2016 rulemaking agenda on transition planning and stress testing. At the Investment Company Institute 2015 Securities Law Development Conference, Director Grim urged securities regulators not to "rest on [their] laurels" during the upcoming year. Director Grim highlighted the following SEC 2015 initiatives: Enhancing Derivatives Regulation. SEC staff has been evaluating whether the current