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The SEC granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices")

Subject to certain conditions, the SEC Division of Corporation Finance granted an exemption from requirements under Securities Exchange Act Rule 14e-5 to an investment company.

The SEC granted limited exemptive relief from the National Market System Plan governing the Consolidated Audit Trail ("CAT NMS Plan") clock synchronization compliance deadline.

The SEC, the MSRB and FINRA opened registration for the Compliance Outreach Program for Municipal Advisors to be held from 3:00 p.m. to 4:30 p.m. Eastern time on November 10, 2016 as a live webcast available on the MSRB website.

The SEC named Stephanie Avakian and Steven Peikin as Co-Directors of the SEC Division of Enforcement. Ms. Avakian was Acting Director of the Division of Enforcement.

The SEC appointed Ernesto A. Lanza the Acting Director for the Office of Municipal Securities ("OMS").

Ms. Kimmel previously served as the Head of Regulatory and Compliance, Wealth Management at Refinitiv, a provider of financial markets data and infrastructure.

The SEC outlined how it intends to adapt to evolving financial markets and technologies in a new report, Strategic Plan for 2018-2022.

The SEC outlined common types of mutual fund classes and emphasized investor consideration of financial position, time horizon and sales charges when choosing a mutual fund class.

The SEC stayed all outstanding administrative proceedings due to the federal government shutdown.

The SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail ("CAT") National Market System Plan.

The SEC proposed an amendment that would require submissions by public companies of their financial statements and mutual funds of their risk/return summaries to use the Inline eXtensible Business...

The SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...

The SEC Division of Corporation Finance provided interpretive guidance that confirmed that a registered broker-dealer and investment adviser's proposed procedures...

The SEC reduced a whistleblower award after discovering that the whistleblower financially benefited from waiting to report the misconduct.

The SEC announced that the International Financial Reporting Standards Taxonomy is now available on the agency website.

The SEC renewed the Equity Market Structure Advisory Committee (the "Committee") for a period of five months.

The SEC solicited comments on FINRA's proposed amendment to Rule 6433. The amendment would extend the effective date of the Tier Size Pilot until December 9, 2016.