Week InAdvance: September 28, 2015

This week, the SEC marks the 75th Anniversary of the Investment Company Act and the Investment Advisers Act with a conference including remarks from Chair Mary Jo White and other commissioners, along with panel discussions featuring former agency chairmen and leaders from the asset management industry. SEC member Kara Stein and Trading and Markets chief Stephen Luparello are among the featured speakers at a market structure conference. FINRA Chairman and CEO Richard Ketchum will also speak. Luparello and Marc Wyatt, acting director of the SEC's Office of Compliance Inspections and Examinations, will participate in a London conference on SEC regulation outside the U.S. At the end of the week, officials from the SEC, FINRA, the CFTC and the DOJ will adjourn to New Orleans for the American Bar Association's 10th National Institute on Securities Fraud. CFPB Director Richard Cordray is likely to face pointed questioning when he goes before the House Financial Services Committee to deliver the agency's semi-annual report to Congress.

Read entire Week InAdvance: September 29, 2015