Question

discuss the changes that have occurred on the SEC within the prior 12 months in the standards and rulings issued

Answer 1

The following changes have taken place in the SEC in the last 12 months:

1.SEC has proposed whistle blower rule adjustments.

2. SEC has proposed targeted changes to public liquidity risk management disclosure.

3.SEC has adopted rules to enhance transperancy and oversight of alternate trade investments.

4.SEC has adopted Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements.

5. SEC has approved Final and Proposed Rules in Latest Open Meeting