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Spotlights on first half of June - Here’s interactive session with SEC in Atlanta on ETFs to digital assets and CFTC to shed lights on indemnification of swap data

The securities laws and regulations would be an ongoing phenomenon to evolve in lockstep with the industry itself, as well as the role of technology solutions, so as to come up with some viable alternatives - not an easy process.

The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in Atlanta on June 13 for an interactive event with investors at Georgia State University College of Law. The event is an opportunity for all Main Street investors—from those who just started their first job to those approaching retirement—to hear directly from, and share feedback with, the SEC’s leaders on topics that directly affect their personal finances and the regional and national economies.

“With its dynamic population, innovative ideas, and thriving economy, Atlanta is an ideal place for us to discuss the work we do and hear directly from the people we serve,” said SEC Chairman Jay Clayton, who is going to be joined in Atlanta by Commissioners Kara Stein, Michael Piwowar, Robert Jackson, and Hester Peirce.

The Commissioners likely to begin with a town hall-style event covering a range of topics from choosing a financial professional, to initial coin offerings and digital assets, to cybersecurity. Directly after the town hall, attendees are invited to join the Commissioners and SEC staff at one of the interactive breakout sessions to gain greater insight into some of the most requested topics before the SEC today.

Breakout session topics:

  • Bitcoin & ICOs
  • Investing in and raising money through small companies
  • The investor experience: does the information you get from mutual funds and ETFs work for you?
  • Tips for savers, including military and early career
  • Risk and Fraud management

“As anyone in the Atlanta Regional Office can tell you, this area has no shortage of people with great ideas, and I know their input will make this event a meaningful learning opportunity both for our agency and the region,” said Richard Best, Director, SEC Atlanta Regional Office.

While Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo has scheduled an open meeting on Monday, June 4, 2018, at 9:30 AM. As per a source, the below matters would be conferred:

  • Final Rule: Indemnification (Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters)
  • Establishment of Subcommittees for the CFTC Technology Advisory Committee.
  • Proposed Rule: Volcker Rule (Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds)

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