04 April 2017
Washington DC
Reporter: Drew Nicol

SEC to build bridges with broker-dealers


The US Securities and Exchange Commission (SEC) has invited broker-dealers to attend an open forum to discuss market compliance and improve communication between the regulator and market participants.

The SEC’s outreach programme, run in partnership with the Financial Industry Regulatory Authority (FINRA), will take place on 27 July.

It will be held at the SEC’s Washington DC headquarters from 10:30am to 4:45pm.

Registration for the event is now open and attendance is limited to 500 on a first-come, first-served basis. There will be a maximum of 10 attendees per firm but the event will be webcast live on the SEC’s website.

According to the SEC, the free-to-attend event is aimed at industry professionals, including compliance, audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote an effective compliance structure for the protection of investors.​

More news
The latest news from Securities Lending Times
Join Our Newsletter

Sign up today and never
miss the latest news or an issue again

Subscribe now
EXCLUSIVE: Sunil Daswani leaves Northern Trust
21 February 2018 | London | Reporter: Jenna Lomax
Sunil Daswani, head of international securities lending at Northern Trust has left the company
Top of hot stocks: TechnipFMC PLC and Match
21 February 2018 | London | Reporter: Jenna Lomax
TechnipFMC PLC, formed by the merger of oil services companies, led the FIS Astec Analytics hot stocks list for EMEA last week
ISLA responds to BMF’s draft circular
20 February 2018 | London | Reporter: Brian Bollen
The International Securities Lending Association (ISLA) has sent a letter to the German Ministry of Finance responding to the BMF’s draft circular released on 25 January 2018 on the subject of a manufactured dividend rule
SBL Network welcomes independent consultant
20 February 2018 | London | Reporter: Jenna Lomax
SBL Network Limited has appointed Charlotte Clout as an independent consultant
Fidessa sees revenue growth across all regions in 2017
20 February 2018 | London | Reporter: Jenna Lomax
Fidessa has reported that its yearly revenue increased by 7 percent for 2017, ending the year with £353.9 million compared to £331.9 million in 2016
Foreign investment in US down
19 February 2018 | Washington DC | Reporter: Brian Bollen
Official figures, released 15 February, by the US Department of the Treasury show a drop in foreign investment in the US in December
Minium, IBM and Promontory release joint white paper
19 February 2018 | London | Reporter: Jenna Lomax
The patchwork of outdated systems most firms use today is not fit for purpose, according to a white paper jointly released by Minium, IBM and Promontory