Chairman Atkins Launches 'Material Matters' Podcast
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - 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 rulemaking agenda. Chairman Atkins will be joined by guests across the agency, government, and industry, including fellow commissioners, division directors, legal and policy experts,...
2026-04-16 4:40 PM EDT
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - 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 to the public and held at the SEC’s headquarters at 100 F Street, N.E, Washington D.C. The discussion will also be streamed live on SEC.gov. The committee will start the morning session by...
2026-04-16 12:07 PM EDT
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - 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 U.S. securities markets. The concept release seeks comment on topics including, but not limited to, CAT funding and cost management, the regulatory purpose of the CAT, the structure and...
2026-04-16 10:20 AM EDT
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
Washington, D.C.--(Newsfile Corp. - April 15, 2026) - 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 securities cleared by a registered derivatives clearing organization. The order provides for an exemption from the broker-dealer customer protection rule for a broker-dealer that is...
2026-04-15 4:19 PM EDT
SEC Appoints David Woodcock as Director of the Division of Enforcement
Washington, D.C.--(Newsfile Corp. - April 8, 2026) - 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 & Crutcher LLP, where he serves as chair of the firm’s Securities Enforcement Practice Group. Sam Waldon will continue to serve as Acting Director of the Enforcement Division until May 4....
2026-04-08 12:56 PM EDT
SEC Announces Enforcement Results for Fiscal Year 2025
Washington, D.C.--(Newsfile Corp. - April 7, 2026) - 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 resources. Regrettably, such resources have been misapplied in prior years to pursue media headlines and run up numbers, and in turn, led to misguided expectations on what constitutes effective...
2026-04-07 5:36 PM EDT
SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
Washington, D.C.--(Newsfile Corp. - April 2, 2026) - 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. to 3:15 p.m. ET. The event will be open to the public and webcast live on the SEC’s website. Doors will open at 8:00 a.m. ET. For in-person attendance, please register here. Visitors will be...
2026-04-02 7:35 PM EDT
SEC Highlights Financial Independence During Financial Literacy Month
Washington, D.C.--(Newsfile Corp. - March 31, 2026) - 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 encourage people to build toward financial independence. Throughout April, SEC staff will provide information to help investors as they create a plan to reach their financial goals and pursue their...
2026-03-31 11:47 AM EDT
SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
Washington, D.C.--(Newsfile Corp. - March 27, 2026) - 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 of 1934 to allow for the implementation of various cost savings measures designed to meaningfully reduce the costs of the CAT while maintaining core regulatory functionality. “After a decade...
2026-03-27 5:50 PM EDT
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
Washington, D.C.--(Newsfile Corp. - March 17, 2026) - 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 greater clarity regarding the Commission’s treatment of crypto assets, and complements Congressional endeavors to codify a comprehensive market structure framework into statute. The Commodity...
2026-03-17 4:07 PM EDT
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
Washington, D.C.--(Newsfile Corp. - March 17, 2026) - 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 offerings, corporate bond offerings, Regulation A offerings, Regulation Crowdfunding offerings, Regulation D offerings, municipal advisors, transfer agents, SBSDs, and asset-backed...
2026-03-17 3:29 PM EDT
SEC Proposes Amendments to Exchange Act Rule 15c2-11
Washington, D.C.--(Newsfile Corp. - March 16, 2026) - 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, securities in the over-the-counter (OTC) market. Since its adoption, Rule 15c2-11’s focus has been on preventing certain manipulative and fraudulent trading schemes in the OTC equity...
2026-03-16 3:34 PM EDT
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned from Agency
Washington, D.C.--(Newsfile Corp. - March 16, 2026) - The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March 16, 2026. “Our goal has been to the lead the Division of Enforcement back to Congress’ original intent: enforcing the federal securities laws, particularly as they relate to fraud and...
2026-03-16 2:38 PM EDT
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
Washington, D.C.--(Newsfile Corp. - March 11, 2026) - The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that they have entered into a Memorandum of Understanding (MOU) to guide coordination and collaboration between the two agencies to support lawful innovation, uphold market integrity, and ensure investor and customer protection. The MOU reflects both agencies’ commitment to provide fair notice to market participants, respect individual...
2026-03-11 4:51 PM EDT
SEC Investor Advisory Committee to Host March 12 Meeting
Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential recommendation regarding the tokenization of equity securities. The meeting will also be webcast on the SEC website and consist of two panels: Public Company Disclosure Reform Fund Proxy Voting:...
2026-03-05 11:12 AM EST
SEC Announces Roundtable on Options Market Structure Reform
Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and identifying opportunities and challenges for continued growth. “The U.S.-listed options market has seen remarkable growth, particularly among retail investors,” said SEC Commissioner Hester M....
2026-03-05 10:24 AM EST
SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions of directors and officers of foreign private issuers (FPIs). Directors and officers of FPIs with a class of equity securities registered under Section 12 of the Securities Exchange Act of...
2026-02-27 1:00 PM EST
SEC, FSA Hold Spring Financial Regulatory Dialogue
Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen collaboration on key cross-border issues and developments. Commissioner Mark T. Uyeda led the Dialogue for the SEC and Mr. MIYOSHI...
2026-02-27 10:15 AM EST
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
Washington, D.C.--(Newsfile Corp. - February 26, 2026) - The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization. The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET at the SEC’s Washington D.C. headquarters and streamed live on the SEC website. “With retail exposure to alternative investments becoming more common, we want to help everyday...
2026-02-26 9:57 AM EST
SEC's Division of Enforcement Announces Updates to Enforcement Manual
Washington, D.C.--(Newsfile Corp. - February 24, 2026) - The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations conducted by the Division. They include changes to investigative procedures that are intended to enhance consistency and uniformity in the Division’s practices and to create greater...
2026-02-24 9:14 AM EST