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SEC Alert! The SEC today adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant 7 the registrant’s financial performance.

SEC Alert! The SEC today adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant 7 the registrant’s financial performance. The rules implement a requirement mandated by the Dodd-Frank Act Source Other commentary: Statement on Final Rule

SEC Alert! Hester Pierce OPPOSES adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant & the registrant’s financial performance.

SEC Alert! Hester Pierce OPPOSES adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant & the registrant’s financial performance as required and mandated by the Dodd-Frank Act in 2010. Source: https://www.sec.gov/news/statement/

SEC Alert! A draft strategic plan for fiscal years 2022 to 2026 is now available for public comment.

Source Comments from Gary Gensler The draft strategic plan establishes three primary goals: * Protecting working families against fraud, manipulation, and misconduct; * Developing and implement a robust regulatory framework that keeps pace with evolving markets, business models, and technologies; and * Supporting a skilled workforce that is diverse, equitable, inclusive, and is

SEC Notice! Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject

Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order (Release No. 34-92716; File No. S7-09-21; August 20, 2021) https://www.sec.gov/

SEC Alert! Securities and Exchange Commission today announced that Lori H. Price has been named Director of the Office of Credit Ratings (OCR), effective Aug. 14, 2022.

Source: https://www.sec.gov/news/press-release/2022-142 The SEC's Office of Credit Ratings is responsible for oversight of nationally recognized statistical rating organizations (NRSROs), including examinations of NRSROs and developing and administering rules affecting NRSROs. Office staff work to ensure that credit ratings are not unduly influenced

FICC-GOV Alert! REMINDER – Technical Specifications for Automated Claim Adjustment Process. Interesting timing for a written reminder on how transactions should be submitted for clearing & settlement, Settlement of Same-Day Settling Trades, & obligations

Whistleblower Alert! Today is National Whistleblower Day: Since issuing its first award in 2012, the SEC has awarded more than $1.3 billion to 278 individuals with enforcement actions ordering monetary sanctions of approximately $5 billion.

Source: https://www.sec.gov/news/statement/grewal-national-whistleblower-day-20220729 Reddit Post