Saturday - December 15, 2018
Federal Regulatory Agencies

News releases, reports, statements and associated documents from federal regulatory agencies ranging from the Securities Exchange Commission to the Commodities Futures Trading Commission

Featured Stories

SEC Issues Order Involving Three Companies
WASHINGTON, Dec. 13 -- The Securities and Exchange Commission issued the following order authorizing the transfer to the U.S. treasury of the remaining funds (No. 3-12372) involving Waddell and Reed, Waddell and Reed Investment Management and Waddell and Reed Services:

In the Matter of WADDELL & REED, INC., WADDELL & REED INVESTMENT MANAGEMENT COMPANY, AND WADDELL & REED SERVICES COMPANY, Respondents.

ORDER AUTHORIZING THE TRANSFER TO THE U.S. TREASURY OF THE REMAINING FUNDS AND ANY FUNDS RETURNED TO THE FAIR FUND IN THE FUTURE, DISCHARGING THE FUND ADMINISTRATOR, AND TERMINATING THE FAIR FUND

On ... Show Full Article

SEC Issues Order Involving Carlos Uresti
WASHINGTON, Dec. 13 -- The Securities and Exchange Commission issued the following order instituting administrative proceedings (No. 3-18928) involving Carlos I. Uresti:

In the Matter of Carlos I. Uresti, Respondent.

ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 102(e) OF THE COMMISSION'S RULES OF PRACTICE, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS

I.

The Securities and Exchange Commission ("Commission") deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted ... Show Full Article

SEC Commissioner Stein Issues Remarks at Investor Advisory Committee Meeting
WASHINGTON, Dec. 13 -- The Securities and Exchange Commission issued the following remarks by Commissioner Kara M. Stein at the Investor Advisory Committee meeting:

"Good morning and welcome to today's meeting of the Investor Advisory Committee. This is your last meeting of the year, and my last as an SEC Commissioner. I want to take this opportunity to thank each of you for your commitment to the Committee.[1] Over the past five and half years, I have greatly benefited from your views about how the Commission can improve the investor experience. The Committee was established to advise and consult ... Show Full Article

SEC Chairman Clayton Issues Remarks at Investor Advisory Committee
WASHINGTON, Dec. 13 -- The Securities and Exchange Commission issued the following remarks by Chairman Jay Clayton at the Investor Advisory Committee:

"Thank you, Anne (Sheehan). Good morning everyone. I would like to thank the Committee members and the panelists for taking the time to engage on the topics on today's agenda.

"I understand that the planned discussion regarding disclosures on human capital will be postponed to a later date. I believe that the strength of many of our public companies is due, often in large part, to their human capital, and I therefore appreciate that the Committee ... Show Full Article

NRC Receives Event Notification Involving Grand Gulf Power Reactor in Mississippi
WASHINGTON, Dec. 13 -- The Nuclear Regulatory Commission issued the following event notification (No. 53788) involving Grand Gulf power reactor in Mississippi:

MANUAL REACTOR SCRAM DUE TO FAILED OPEN TURBINE BYPASS VALVE

"At 1351 CST, the reactor was manually shutdown due to 'A' Turbine Bypass Valve opening. The Main Steam Line Isolation Valves were manually closed to facilitate reactor pressure control. Reactor level is being maintained through the use of Reactor Core Isolation Cooling System, Control Rod Drive System, and High Pressure Core Spray System. High Pressure Core Spray System was ... Show Full Article

FEC Elects Weintraub as Chair, Petersen as Vice Chairman for 2019
WASHINGTON, Dec. 13 -- The Federal Election Commission issued the following news release:

At its open meeting today, the Federal Election Commission elected Ellen L. Weintraub as Chair and Matthew S. Petersen as Vice Chairman for 2019. A member of the Commission since 2002, Ms. Weintraub served as Chair in 2003 and 2013. Mr. Petersen has served twice as Chairman, in 2010 and 2016.

Commissioner Weintraub took office on December 9, 2002, after receiving a recess appointment; she was renominated and confirmed unanimously by the United States Senate on March 18, 2003. Commissioner Petersen was nominated ... Show Full Article

Berwick Offray Testifies Before ITC on Plastic Decorative Ribbon From China
WASHINGTON, Dec. 13 -- The U.S. International Trade Commission issued the following testimony by Lee Boy, vice president of Manufacturing at Berwick Offray on the plastic decorative ribbon from China:

"Good morning. My name is Lee Boy and I am the Vice President of Manufacturing at Berwick Offray. In this capacity I oversee the production of plastic decorative ribbons in our facilities in Berwick, Pennsylvania. I have served as Vice President of Manufacturing for 12 years and have 21 years of prior experience in the plastic extrusion and conversion industry.

"I would like to take this opportunity ... Show Full Article