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.
28 Sep 2015
Week InAdvance
please join us...
MONDAY, SEP 28
Trading Executives Council Telecon
Guest speaker: NY Fed's Markets Group
policy advisor, Frank Keane 
2 - 3 pm ET

TUESDAY, SEP 29
Derivatives Council Telecon
11am - noon ET

WEDNESDAY, SEP 30
Monthly Membership Telecon
4:30 - 5 pm ET
(Held on the last Wednesday of each month)
for details & call-in info...
Matthew Jones
Staff Director
mjones@association.institutionalINVESTORS.org
(202) 712-9050
save the date...
TUESDAY, NOV 17
2015 Fall Market Practices in-Person
8:30 am to 1:30 pm ET
Boston, Massachusetts
week in brief
MONDAY, SEP 28
N.Y. Fed President William C. Dudley discusses monetary policy in an interview with the Wall Street Journal. The General Debate of the UN General Assembly (UNGA) begins.

TUESDAY, SEP 29
SEC Chair Mary Jo White and fellow commissioners speak at an agency-hosted conference commemorating the 75th Anniversary of the Investment Company Act and the Investment Advisers Act. Two separate House Financial Services Committee hearings: one on CFPB's semi-annual report, the other on the impact of domestic regulatory standards on the U.S. insurance market. Senate Finance Committee holds hearing on Puerto Rico.

WEDNESDAY, SEP 30
Senate Banking subcommittee hearing on oversight of Securities Investor Protection Corporation. Top cyber officials testify at Senate hearing. Fed Chair Janet Yellen at St. Louis Fed community banking conference. House Financial Services Committee holds markup of legislation designed to block DOL's fiduciary rule, the same day a House Ways and Means subcommittee holds a hearing on the rule. SIFMA holds liquidity forum in NYC with N.Y. Fed President William Dudley. Last day of fiscal 2015.

THURSDAY, OCT 1
Security Traders Association Market Structure Conference.

FRIDAY, OCT 2
Boston Fed holds conference on monetary policy.

SATURDAY, OCT 3
N.Y. Fed President William Dudley speaks at Boston Fed conference.
Please see below for details on these and other events this week.
at the agencies
MONDAY, SEP 28 -
WEDNESDAY, SEP 30
OFFICE OF THE COMPTROLLER OF THE  CURRENCY
"Building Blocks for Directors" workshop in New York City. Topics include directors' duties and core responsibilities, major laws and regulations and familiarity with the examination process.

TUESDAY, SEP 29
SECURITIES AND EXCHANGE COMMISSION
75th Anniversary: Investment Company Act and the Investment Advisers Act conference with Chair Mary Jo White and her fellow commissioners. Panels include asset management pioneers, former SEC chairmen and division directors, and perspectives on the asset management industry.

WEDNESDAY, SEP 30 -
THURSDAY, OCT 1
FEDERAL RESERVE BANK OF ST. LOUIS
Fed Chair Janet Yellen delivers opening remarks at "Community Banking in the 21st Century" conference. Topics include the role of community banks in the U.S. financial system, the impact of government policy on community banks and advantages and disadvantages of the community bank business model.

FRIDAY, OCT 2 -
SATURDAY, OCT 3
FEDERAL RESERVE BANK OF BOSTON
"Macro Prudential Monetary Policy" conference. Speakers on Friday include Federal Reserve Vice Chair Stanley Fischer; Federal Reserve Bank Presidents Narayana Kocherlakota (Minneapolis), Loretta Mester (Cleveland), and Eric Rosengren (Boston). On Saturday, New York Fed President William Dudley will speak.
  
 
on the hill
TUESDAY, SEP 29
SENATE BANKING, HOUSING AND URBAN AFFAIRS
Full committee confirmation hearing for Adewale Adeyemo to be an assistant Treasury secretary for international markets and development; Amias Gerety to be an assistant Treasury secretary for financial institutions; and Jay Lerner to be inspector general of the Federal Deposit Insurance Corporation.

TUESDAY, SEP 29
SENATE FINANCE
Full committee hearing on "Financial and Economic Challenges in Puerto Rico." Chairman Orrin Hatch, in a statement on Sept. 22, said the committee would "explore how the territory manages its finances and government-backed borrowing entities." 

TUESDAY, SEP 29
HOUSE FINANCIAL SERVICES
Full committee hearing on "The Semi-Annual Report of the Bureau of Consumer Financial Protection." CFPB Director Richard Cordray will testify.

TUESDAY, SEP 29
HOUSE FINANCIAL SERVICES
Subcommittee on Housing and Insurance hearing on "The Impact of Domestic Regulatory Standards on the U.S. Insurance Market."

WEDNESDAY, SEP 30
SENATE ARMED SERVICES
Full committee hearing on "Implementing the Department of Defense Cyber Strategy." Witnesses: Robert O. Work, Deputy Secretary of Defense; Admiral Michael Rogers, USN, Commander, US Cyber Command; Tom Atkin, acting assistant secretary of defense for homeland defense and global security; and Terry Halvorsen, the Pentagon's chief information officer.

WEDNESDAY, SEP 30
SENATE BANKING
Subcommittee on Securities, Insurance, and Investment hearing on "Oversight of the Securities Investor Protection Corporation."

WEDNESDAY, SEP 30
HOUSE FINANCIAL SERVICES
Markup of H.R. 1090, which would block a proposed Labor Department rule on fiduciary conflicts of interest.

WEDNESDAY, SEP 30
HOUSE WAYS AND MEANS
Subcommittee on Oversight hearing on "Department of Labor's Proposed Fiduciary Rule."
across the globe
SUNDAY, SEP 27 - 
TUESDAY, SEP 29
SAN JUAN, PUERTO RICO
NASAA (North American Securities Administrators Association) 2015 Annual Conference "Regulation for the Ages." Former SEC Chairman Arthur Levitt is a featured speaker.

MONDAY, SEP 28
PARIS, FRANCE
"Financial Regulation: Stability vs. Uniformity" conference. Speakers: Bank of France head Christian Noyer, U.S. Federal Reserve Board of Governors member Daniel Tarullo, Bank of England Deputy Governor Jon Cunliffe.

TUESDAY, SEP 29
LONDON, ENGLAND
SEC's Stephen Luparello, Director, Division of Trading and Markets; and Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations; will participate in InvestoRegulation's SEC Regulation Outside the U.S. Conference. Topics include markets and SEC and CFTC developments, cross border cooperation and the administration and enforcement of the U.S. federal securities laws, and compliance for SEC registered advisers.

TUESDAY, SEP 29 - 
WEDNESDAY, SEP 30
TOKYO, JAPAN
OECD E-Leaders 2015 "Fostering a Data-Driven Public Sector: realizing the potential of government data." The annual "E-Leaders" meeting began in 2008 and brings together members of the OECD Working Party of Senior Digital Government Officials - the most senior government officials responsible for digital government in each OECD member country - to discuss issues of importance to the Working Party members. 
other events
MONDAY, SEP 28 -
WEDNESDAY, SEP 30
LAS VEGAS, NEVADA
ACAMS (Advancing Financial Crime Professionals Worldwide) 14th Annual AML & Financial Crime Conference. FBI's Timothy J. Delaney, OFAC Acting Director John E. Smith and the U.S. State Department's Andrew N. Keller are keynote speakers.

TUESDAY, SEP 29 -
WEDNESDAY, SEP 30
SAN FRANCISCO, CALIFORNIA
8th San Francisco Boot Camp on FCPA Enforcement & Compliance. Speakers include Patrick Stokes, deputy chief, fraud section, criminal division of the U.S. Department of Justice; Tracy L. Davis, assistant regional director of the U.S. Securities and Exchange Commission; and Heather van de Velde, supervisory special agent in criminal investigation at the IRS.

WEDNESDAY, SEP 30
NEW YORK CITY
New York Fed President William Dudley gives the keynote address at the Securities Industry and Financial Markets Association (SIFMA) Liquidity Forum.

WEDNESDAY, SEP 30
WASHINGTON DC
International Monetary Fund Managing Director Christine Lagarde participates in conversation hosted by the Americas Society / Council of the Americas (AS/COA) on global economic policies and prospects ahead of the annual meetings of the World Bank and IMF Boards of Governors in Lima, Peru, next month.

WEDNESDAY, SEP 30 -
THURSDAY, OCT 1
ATLANTA, GEORGIA
Trade ministers gather to discuss the proposed 12-nation Trans-Pacific Partnership bloc. The ministers last gathered in July in Hawaii.

WEDNESDAY, SEP 30 -
FRIDAY, OCT 2
WASHINGTON DC
Securities Trader Association's  82nd Annual Market Structure Conference. Speakers include SEC Commissioner Kara Stein; FINRA CEO Richard Ketchum; and Stephen Luparello, director of the SEC's division of trading and markets.

THURSDAY, OCT 1
WASHINGTON DC
European Central Bank chief Mario Draghi speaks on the occasion of the awarding of the Atlantic Council Global Citizens Award.

THURSDAY, OCT 1 
FRIDAY, OCT 2
NEW ORLEANS, LOUISIANA
The American Bar Association's 10th Annual National Institute on Securities Fraud will draw officials from both the U.S. Department of Justice and the U.S. Securities and Exchange Commission for an educational and professional forum to examine current legal and ethical issues relating to securities fraud.

FRIDAY, OCT 2 -
SATURDAY, OCT 3
CHICAGO, ILLINOIS
Conference on Financial Regulation. Speakers include the SEC's Mark Flannery, Joao Santos of the Federal Reserve Bank of New York, and the Fed Board's Stephane Verani.

SUNDAY, OCT 4 -
WEDNESDAY, OCT 7
LAS VEGAS, NEVADA
SCCE's 14th Annual Compliance & Ethics Conference. Speakers include Kelly R. Welsh, general counsel of the U.S. Department of Commerce; and Debbie Troklus, managing director of Aegis Compliance and Ethics Center.