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
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
Washington, D.C.--(Newsfile Corp. - February 18, 2026) - The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant information about a fund. The proposed amendments to Form N-PORT follow a review (in accordance with a Presidential...
2026-02-18 2:29 PM EST
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
Washington, D.C.--(Newsfile Corp. - February 13, 2026) - The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and an agenda are available on the event page. The forum brings together members of the public and private sectors to discuss and provide suggestions to improve policy...
2026-02-13 11:51 AM EST
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
Washington, D.C.--(Newsfile Corp. - February 5, 2026) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and security-based swap dealers (SBSDs). The reports provide the public with information about the growth in active ETFs and the changes in fees paid by investors when mutual funds and ETFs...
2026-02-05 2:17 PM EST
SEC Appoints New Chairman and Board Members to PCAOB
Washington, D.C.--(Newsfile Corp. - January 30, 2026) - The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George Botic will continue his service as a Board member and will remain as Acting Chairman until Mr. Logothetis is sworn in. The Sarbanes-Oxley Act of 2002 established the PCAOB to oversee the...
2026-01-30 4:05 PM EST
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
Washington, D.C.--(Newsfile Corp. - January 27, 2026) - The Securities and Exchange Commission today filed settled charges against Archer-Daniels-Midland Company (ADM) and its former executives, Vince Macciocchi and Ray Young, and a litigated action against its former executive Vikram Luthar, for materially inflating the performance of a key ADM business segment, Nutrition, which ADM touted to investors as an important driver of the company’s overall growth. The SEC’s complaint against Luthar...
2026-01-27 6:52 PM EST
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Washington, D.C.--(Newsfile Corp. - January 26, 2026) - Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC headquarters to discuss harmonization between the two agencies and their efforts to deliver on President Trump’s promise to make the United States the crypto capital of the world. “For...
2026-01-26 11:27 AM EST
SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the two agencies and their efforts to deliver on President Trump’s promise to make the United States the crypto capital of the world. “For too long, market participants have been forced to...
2026-01-22 4:49 PM EST
SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The meeting will continue the committee’s discussion on potential regulatory improvements regarding “finders” who assist companies with raising capital in private...
2026-01-22 3:08 PM EST
SEC Approves 2026 PCAOB Budget and Accounting Support Fee
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission today approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) and the related accounting support fee. The 2026 PCAOB budget totals $362.1 million. The 2026 budget reflects a 9.4% ($37.6 million) decrease from the prior year and includes a 52% and 42% reduction in the chairperson and other Board members’ compensation, respectively. The accounting support fee (ASF) totals...
2026-01-22 12:14 PM EST
SEC Seeks Candidates for Membership on the Investor Advisory Committee
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securities regulation. Candidates will be considered for open at-large membership positions on the committee, as well as for a position as the member who is representative of the interests of senior...
2026-01-22 9:04 AM EST
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
Washington, D.C.--(Newsfile Corp. - January 21, 2026) - The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and policy matters relating to small businesses, including smaller public companies. The committee was established by the SEC Small Business Advocate Act of 2016. Consistent with statutory...
2026-01-21 8:45 AM EST
Division of Corporation Finance Names Senior Staff
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced the senior team from the Division of Corporation Finance responsible for advising division Director James Moloney on all matters the division has before the Commission. These include rulemaking efforts, corporate disclosure matters, and all day-to-day operations needed to fulfill the SEC's mission. “I am pleased that we have assembled such a dedicated and talented group of public...
2026-01-20 3:15 PM EST
Christina M. Thomas to Rejoin the Division of Corporation Finance as Deputy Director
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced that Christina M. Thomas will rejoin the Division of Corporation Finance in February as deputy director and chief advisor on disclosure, policy, and rulemaking. “Christina brings her deep technical experience in disclosure, compliance, and international securities law back to the Commission at a critical time,” said SEC Chairman Paul S. Atkins. “Her expertise will contribute...
2026-01-20 3:11 PM EST
Keith E. Cassidy Named Director of the Division of Examinations
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting Co‑Director, and National Associate Director of the Technology Controls Program. As Acting Director, Mr. Cassidy led several initiatives to strengthen the national examinations program,...
2026-01-20 10:15 AM EST
J. Russell McGranahan Named SEC General Counsel
Washington, D.C.--(Newsfile Corp. - January 15, 2026) - The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the Chairman, Commissioners, and agency staff. Jeffrey Finnell, who has served as Acting General Counsel, remains at the Commission as Deputy General Counsel. “I have known Rusty for many...
2026-01-15 10:43 AM EST
Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
Washington, D.C.--(Newsfile Corp. - January 12, 2026) - The Securities and Exchange Commission today announced that Paul H. Tzur and David M. Morrell have been named as Deputy Directors of the Division of Enforcement. Mr. Tzur joined the Commission on January 6, 2026, as the Deputy Director overseeing the agency’s enforcement program in the Chicago, Atlanta, and Miami Regional Offices. Mr. Morrell joined the Commission on January 12, 2026, as the Deputy Director overseeing the agency’s...
2026-01-12 3:10 PM EST