New RSS Feed Item: SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in…
Read more: https://www.sec.gov/newsroom/press-releases/2026-28-sec-proposes-amendments-exchange-act-rule-15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in…
Read more: https://www.sec.gov/newsroom/press-releases/2026-28-sec-proposes-amendments-exchange-act-rule-15c2-11
New RSS Feed Item: SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…
Read more: https://www.sec.gov/newsroom/press-releases/2026-29-sec-publishes-data-public-private-offerings-municipal-advisors-transfer-agents-securities-based-swap
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…
Read more: https://www.sec.gov/newsroom/press-releases/2026-29-sec-publishes-data-public-private-offerings-municipal-advisors-transfer-agents-securities-based-swap
New RSS Feed Item: SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…
Read more: https://www.sec.gov/newsroom/press-releases/2026-30-sec-clarifies-application-federal-securities-laws-crypto-assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…
Read more: https://www.sec.gov/newsroom/press-releases/2026-30-sec-clarifies-application-federal-securities-laws-crypto-assets
New RSS Feed Item: SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act…
Read more: https://www.sec.gov/newsroom/press-releases/2026-31-sec-approves-amendment-nms-plan-further-reduce-costs-consolidated-audit-trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act…
Read more: https://www.sec.gov/newsroom/press-releases/2026-31-sec-approves-amendment-nms-plan-further-reduce-costs-consolidated-audit-trail
New RSS Feed Item: SEC Highlights Financial Independence During Financial Literacy Month
The Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA) today announced that as part of April’s National Financial Literacy Month it will highlight financial planning tools and resources on Investor.gov to…
Read more: https://www.sec.gov/newsroom/press-releases/2026-32-sec-highlights-financial-independence-during-financial-literacy-month
The Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA) today announced that as part of April’s National Financial Literacy Month it will highlight financial planning tools and resources on Investor.gov to…
Read more: https://www.sec.gov/newsroom/press-releases/2026-32-sec-highlights-financial-independence-during-financial-literacy-month
New RSS Feed Item: SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.…
Read more: https://www.sec.gov/newsroom/press-releases/2026-33
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.…
Read more: https://www.sec.gov/newsroom/press-releases/2026-33
New RSS Feed Item: SEC Announces Enforcement Results for Fiscal Year 2025
The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission…
Read more: https://www.sec.gov/newsroom/press-releases/2026-34
The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission…
Read more: https://www.sec.gov/newsroom/press-releases/2026-34
New RSS Feed Item: SEC Appoints David Woodcock as Director of the Division of Enforcement
The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn…
Read more: https://www.sec.gov/newsroom/press-releases/2026-35-sec-appoints-david-woodcock-director-division-enforcement
The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn…
Read more: https://www.sec.gov/newsroom/press-releases/2026-35-sec-appoints-david-woodcock-director-division-enforcement
New RSS Feed Item: SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury…
Read more: https://www.sec.gov/newsroom/press-releases/2026-36-sec-approves-exemptive-order-proposed-rule-change-permit-customer-cross-margining-us-treasury-market
The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury…
Read more: https://www.sec.gov/newsroom/press-releases/2026-36-sec-approves-exemptive-order-proposed-rule-change-permit-customer-cross-margining-us-treasury-market
New RSS Feed Item: SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of…
Read more: https://www.sec.gov/newsroom/press-releases/2026-37-sec-seeks-public-comment-consolidated-audit-trail-other-audit-trails-data-sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of…
Read more: https://www.sec.gov/newsroom/press-releases/2026-37-sec-seeks-public-comment-consolidated-audit-trail-other-audit-trails-data-sources
New RSS Feed Item: SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open…
Read more: https://www.sec.gov/newsroom/press-releases/2026-38-sec-small-business-advisory-committee-explore-ways-encourage-more-ipos
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open…
Read more: https://www.sec.gov/newsroom/press-releases/2026-38-sec-small-business-advisory-committee-explore-ways-encourage-more-ipos
New RSS Feed Item: Chairman Atkins Launches 'Material Matters' Podcast
The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
Read more: https://www.sec.gov/newsroom/press-releases/2026-39-chairman-atkins-launches-material-matters-podcast
The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
Read more: https://www.sec.gov/newsroom/press-releases/2026-39-chairman-atkins-launches-material-matters-podcast
New RSS Feed Item: SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The…
Read more: https://www.sec.gov/newsroom/press-releases/2026-40-sec-cftc-jointly-propose-amendments-reduce-private-fund-reporting-burdens
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The…
Read more: https://www.sec.gov/newsroom/press-releases/2026-40-sec-cftc-jointly-propose-amendments-reduce-private-fund-reporting-burdens
New RSS Feed Item: Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service.“Jason’s exceptional leadership…
Read more: https://www.sec.gov/newsroom/press-releases/2026-41-deputy-director-enforcement-jason-burt-conclude-his-tenure-sec
The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service.“Jason’s exceptional leadership…
Read more: https://www.sec.gov/newsroom/press-releases/2026-41-deputy-director-enforcement-jason-burt-conclude-his-tenure-sec
New RSS Feed Item: SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities…
Read more: https://www.sec.gov/newsroom/press-releases/2026-42-sec-proposes-amendments-permit-optional-semiannual-reporting-public-companies
The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities…
Read more: https://www.sec.gov/newsroom/press-releases/2026-42-sec-proposes-amendments-permit-optional-semiannual-reporting-public-companies
New RSS Feed Item: SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help…
Read more: https://www.sec.gov/newsroom/press-releases/2026-43-sec-divisions-investment-management-corporation-finance-issue-staff-guidance-supporting-retirement
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help…
Read more: https://www.sec.gov/newsroom/press-releases/2026-43-sec-divisions-investment-management-corporation-finance-issue-staff-guidance-supporting-retirement
New RSS Feed Item: SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…
Read more: https://www.sec.gov/newsroom/press-releases/2026-44-sec-charges-21-individuals-alleged-wide-reaching-insider-trading-scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…
Read more: https://www.sec.gov/newsroom/press-releases/2026-44-sec-charges-21-individuals-alleged-wide-reaching-insider-trading-scheme
New RSS Feed Item: SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the…
Read more: https://www.sec.gov/newsroom/press-releases/2026-45-sec-rescinds-policy-regarding-denials-settlements-enforcement-actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the…
Read more: https://www.sec.gov/newsroom/press-releases/2026-45-sec-rescinds-policy-regarding-denials-settlements-enforcement-actions
New RSS Feed Item: SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor…
Read more: https://www.sec.gov/newsroom/press-releases/2026-46-sec-proposes-transformative-reforms-help-public-companies-conduct-registered-offerings-simplify
The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor…
Read more: https://www.sec.gov/newsroom/press-releases/2026-46-sec-proposes-transformative-reforms-help-public-companies-conduct-registered-offerings-simplify
New RSS Feed Item: SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common…
Read more: https://www.sec.gov/newsroom/press-releases/2026-47
The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common…
Read more: https://www.sec.gov/newsroom/press-releases/2026-47