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The SEC Investor Advisory Committee (IAC) held a public meeting on September 21, 2022. Panel discussions included: (1) human capital management labor valuation and performance data; (2) proposed rule 10b-1 position reporting of large security-based swap positions / asset-based swaps; (3) schedules 13d and 13g beneficial ownership reports; and (4) ESG fund disclosure. The IAC also discussed recommendations on cybersecurity and climate disclosures, and accounting modernization.
Read the draft recommendations and view the webcast rebroadcast.
On August 24, 2022, the SEC published its draft FY22-26 strategic plan for public comment. The plan includes three key SEC goals: protect working families against fraud, manipulation and misconduct; develop and implement a robust regulatory framework that keeps pace with evolving markets, business models and technologies; and support a skilled workforce that is diverse, equitable and inclusive, and fully equipped to advance agency objectives.
Opens in new window(PDF :KB)Read the press release.
On September 27, 2022, the SEC announced settlements with 15 broker-dealers and one affiliated investment adviser for the firms’ employees’ routine communications about business matters using text messaging applications on their personal devices. The SEC charged the firms with not maintaining or preserving the substantial majority of these off-channel communications.
Review the press release and SEC Orders.
On September 6, 2022, the DOL published an Interpretive Bulletin relating to the independence of employee benefit plan accounts, setting forth guidelines for determining when a qualified public accountant is independent for purposes of auditing and rendering an opinion on the financial statements required to be included in the annual report filed with the DOL under ERISA.
Opens in new window(PDF :KB) Read the entire bulletin.
On September 16, 2022, the White House released a report that, based on recommendations from agencies across the government, advances the six key priorities identified in the Executive Order: consumer and investor protection; promoting financial stability; countering illicit finance; U.S. leadership in the global financial system and economic competitiveness; financial inclusion; and responsible innovation.
Read the entire report.
On September 9, 2022, the SEC announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance's Disclosure Review Program (DRP).
Read the press release.
On October 3, 2022, the SEC announced charges against Kim Kardashian for touting on social media a crypto asset security without disclosing the payment she received for the promotion. Kardashian agreed to settle the charges, pay $1.26 million in penalties, disgorgement, and interest, and cooperate with the Commission’s ongoing investigation.
Read the press release and SEC Order.
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