Tag: sec
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SEC Small Business Advisory Committee to Reconvene Virtually
The SEC's Small Business Capital Formation Advisory Committee will reconvene virtually on August 6, 2026, at 1 p.m. ET. This meeting continues discussions from the July 21 session, accessible via SEC.gov.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionSECSmall Business Capital Formation Advisory CommitteeVirtual MeetingCapital FormationSmall BusinessGovernment
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SEC to Host Roundtable on 24-Hour Equity Trading
The SEC will host a roundtable on September 17, 2026, to explore the move to 24-hour trading in U.S. equity markets. Discussions will cover preparations, operations, and resiliency for overnight trading.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy SEC24-hour tradingU.S. equity marketsFinancial regulationMarket operationsRoundtableOvernight trading
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SEC Announces Departure of Principal Deputy Director Sam Waldon
Sam Waldon, Principal Deputy Director of the SEC's Division of Enforcement, is set to depart on July 31, 2026, after over 14 years. His successor will be announced later.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsLegalEmployment and Labor Sam WaldonSECDivision of EnforcementDepartureFinancial RegulationGovernmentPersonnel Change
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SEC Commissioner Peirce Releases Statement on Crypto Vaults and Lending
SEC Commissioner Hester M. Peirce has released a statement, "Headstands and Summervaults," offering insights on crypto vaults and lending strategies. The new information is now available from the Securities and Exchange Commission.
BusinessPolitics and Government Hester M. PeirceSecurities and Exchange CommissionSECCrypto VaultsLending StrategiesCryptocurrencyFinance
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SEC Commissioner Uyeda Addresses Small Business Capital Formation Committee
SEC Commissioner Mark T. Uyeda delivered remarks to the Small Business Capital Formation Advisory Committee. His speech, now available, offers insights into capital formation for small businesses, providing public access to the discussion.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsEducation Mark T. UyedaSECSmall Business Capital Formation Advisory CommitteeCapital FormationSmall BusinessSpeechesSecurities Regulation
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SEC Commissioner Uyeda's Remarks to American-Hellenic Chamber Now Public
SEC Commissioner Mark T. Uyeda's remarks before the American-Hellenic Chamber of Commerce are now publicly available. The speech offers insights into financial regulation and is accessible on the SEC's newsroom.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsTrade Securities and Exchange CommissionMark T. UyedaAmerican-Hellenic Chamber of CommerceFinancial RegulationPublic StatementsSECSpeeches
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Commissioner Peirce Issues Statement on Proposed E-Delivery Regulation
SEC Commissioner Hester M. Peirce released her "Paper Taper" statement on the proposed Regulation E-Delivery, offering insights into the electronic delivery of regulatory information.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy Hester M. PeirceSecurities and Exchange CommissionSECRegulation E-DeliveryElectronic DeliveryFinancial RegulationStatement
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SEC Proposes New E-Delivery Rule for Enhanced Investor Access
The SEC has proposed Regulation E-Delivery to expand electronic information delivery for issuers, broker-dealers, and investment advisers. This new rule aims to make financial information more accessible and useful for investors, modernizing communication in the financial sector.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegal SECRegulation E-DeliveryElectronic DeliveryInvestorsFinancial InformationBroker-dealersInvestment Advisers
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SEC Chairman Atkins Issues Statement on E-Delivery Regulation
SEC Chairman Paul S. Atkins has issued a statement on Regulation E-Delivery. The Securities and Exchange Commission announced the availability of this new information, encouraging public review of the details.
Politics and GovernmentBusinessFederal GovernmentLegalFinancial MarketsEconomy SECPaul S. AtkinsRegulation E-DeliverySecurities and Exchange CommissionFinancial RegulationGovernmentSpeeches and Statements
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Securities Filing Agent Employee Sentenced to 27 Months for $2.3 Million Insider Trading Scheme
Justin Chen received a 27-month prison sentence for insider trading, profiting $2.38 million from 13 companies by misusing non-public information from his role at an EDGAR filing agent. He was also ordered to forfeit gains and pay restitution.
BusinessLaw EnforcementFinancial MarketsLegalFederal GovernmentEconomy Justin ChenInsider TradingSecurities FraudBrooklynEDGARSECFinancial CrimeFBI
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Former Western Asset Management CIO Pleads Guilty to Obstructing Fraud Investigation
Former WAMCO Chief Investment Officer S. Kenneth Leech II pleaded guilty to obstructing an SEC investigation into his $600 million 'cherry-picking' scheme, favoring some clients while causing losses for others. He faces up to five years in prison.
BusinessLaw EnforcementPolitics and GovernmentFinancial MarketsLegalFederal GovernmentEconomy S. Kenneth Leech IIWestern Asset Management CompanyObstruction of JusticeInvestment FraudSECCherry-pickingFinancial CrimeFBI
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SEC Chairman Atkins' Corporate Governance Remarks Released Ahead of 2026 Conference
SEC Chairman Paul S. Atkins' remarks for the July 9, 2026, Society for Corporate Governance Conference are now available, offering insights into corporate governance.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomyEducation Paul S. AtkinsSecurities and Exchange CommissionCorporate GovernanceConferenceSECRemarks2026
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SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
The SEC will host a virtual roundtable on July 13, 2026, at 2 p.m. to re-examine Initial Public Offerings and expand public market access. The livestreamed discussion is co-hosted by the Office of the Advocate for Small Business Capital Formation…
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentGeneral Politics SECVirtual RoundtableIPOsPublic MarketsCapital FormationFinancial ServicesInvesting
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SEC Chairman Atkins Issues Statement on 2026 Regulatory Agenda
SEC Chairman Paul S. Atkins has released a statement detailing the 2026 Regulatory Agenda. The Securities and Exchange Commission announced the new information is now available to the public.
BusinessPolitics and GovernmentUSA SECPaul S. AtkinsRegulatory AgendaSecurities and Exchange CommissionStatementGovernmentFinance
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SEC Appoints Paul Knight as Chief Operating Officer
The SEC has appointed Paul Knight as its new Chief Operating Officer. He will oversee the agency's operational and administrative functions, including the Office of… This key role aims to streamline the commission's internal workings.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsEconomy Paul KnightSecurities and Exchange CommissionChief Operating OfficerSECAppointmentOperationsGovernment
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SEC Reports Surge in IPOs and Capital Market Activity
The SEC's DERA published updated U.S. capital market statistics, highlighting an increase in IPOs and proceeds raised. The report also includes new asset-backed securities issuance data, offering fresh insights.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionSECDERACapital MarketsIPOsAsset-Backed SecuritiesMarket Statistics
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SEC Chairman Atkins' Economic Club Remarks Now Available
SEC Chairman Paul S. Atkins' remarks at the Economic Club of New York, dated June 30, 2026, are now available. The Securities and Exchange Commission released the full text of his address.
BusinessPolitics and Government Paul S. AtkinsSECEconomic Club of New YorkSpeechesFinancial RegulationNew York
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SEC Seeks Public Comment on Novel Exchange-Traded Funds
The SEC is requesting public comment on exchange-traded funds (ETFs) that invest in innovative asset classes or use novel strategies. This aims to facilitate their market integration and address unique aspects of these financial products.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionSECExchange-Traded FundsETFsPublic CommentInvestment StrategiesFinancial Regulation
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CFTC, SEC Seek Public Comment on Portfolio Margining Harmonization
The CFTC and SEC are seeking public comment to harmonize portfolio margining frameworks. This joint request aims to streamline regulations across securities, swaps, and futures, enhancing consistency in financial markets.
BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial MarketsLegal CFTCSECPortfolio MarginingRegulatory FrameworksFinancial RegulationPublic CommentDerivatives
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SEC Appoints Kathleen Hutchinson to Lead International Affairs Office
The Securities and Exchange Commission has named Kathleen M. Hutchinson as the new Director of its Office of International Affairs. She will advise on international policy and coordinate with foreign authorities.
Politics and GovernmentBusinessWorldFederal GovernmentEconomyGeneral Politics Kathleen M. HutchinsonSECOffice of International AffairsOIAAppointmentInternational PolicyRegulatory Bodies
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CFTC, SEC Seek Public Comment on Derivatives Definitions
The CFTC and SEC are seeking public comment to clarify and harmonize derivatives product definitions, including “Swap” and “Security-Based Swap.” This joint request aims to update interpretive issues and explore alternative compliance in the derivatives market.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal CFTCSECDerivativesFinancial RegulationPublic CommentSwapsSecurity-Based Swaps
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CFTC and SEC Seek Public Input on Swap Data Reporting Frameworks
The CFTC and SEC are requesting public comment to harmonize, modernize, and streamline data reporting requirements for swap and security-based swap markets, aiming to improve efficiency and consistency.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsBankingLegal CFTCSECSwap MarketsSecurity-Based Swap MarketsData ReportingPublic CommentFinancial Regulation
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SEC and CFTC Seek Public Comment on Derivatives Definitions
The SEC and CFTC are jointly requesting public comment to update, clarify, and harmonize derivatives product definitions. This initiative aims to streamline regulatory frameworks and enhance consistency in the derivatives market.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal Government SECCFTCDerivativesPublic CommentFinancial RegulationProduct DefinitionsHarmonization
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SEC and CFTC Seek Public Input on Swap Data Reporting
The SEC and CFTC are requesting public comment to harmonize, modernize, and streamline data reporting requirements for security-based swap and swap markets, aiming to improve regulatory efficiency.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegalEconomy SECCFTCData ReportingSecurity-Based SwapSwap MarketsPublic CommentFinancial Regulation
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SEC Commissioner Uyeda Addresses Transatlantic Challenges at US-CEE Connection
SEC Commissioner Mark T. Uyeda delivered remarks on transatlantic challenges in law, business, and policy at the US-CEE Connection event, with the full speech now available.
Politics and GovernmentBusinessWorldFederal GovernmentEconomyLegalFinancial MarketsEuropeTrade Mark T. UyedaSECUS-CEE ConnectionTransatlantic ChallengesLawPolicy
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SEC Warns Public of Government Imposter Scams on Elder Abuse Awareness Day
On World Elder Abuse Awareness Day, the SEC warns against government imposter scams. Fraudsters impersonate SEC officials via social media and text messages, luring victims with fake stock tips, advance fee fraud, and threats. Verify communications by calling the SEC…
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsLegalSocial IssuesEducation World Elder Abuse Awareness DayGovernment Imposter ScamsSECFraudAdvance Fee FraudInvestor ProtectionScams
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SEC Announces Trading Suspension for Happy City Holdings Limited
The SEC has announced a new trading suspension for Happy City Holdings Limited. Information regarding this regulatory action is now publicly available from the commission.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionSECTrading SuspensionHappy City Holdings LimitedFinancial RegulationMarket Transparency
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SEC Chairman Atkins Releases Statement on Market Pricing
SEC Chairman Paul S. Atkins has released a new statement regarding minimum pricing increments and access fee caps. This announcement from the Securities and Exchange Commission highlights ongoing regulatory focus on market structure.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionSECPaul S. AtkinsPricing IncrementsAccess Fee CapsMarket Regulation
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SEC Chairman Atkins Addresses Regulation NMS Provisions
SEC Chairman Paul S. Atkins addressed key aspects of Regulation NMS at an Open Meeting. His statement focused on the Trade-Through Rule and Locked and Crossed Markets provisions, underscoring ongoing regulatory efforts in securities markets.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentGeneral PoliticsLegal Paul S. AtkinsSECRegulation NMSTrade-Through RuleLocked and Crossed MarketsFinancial RegulationSecurities
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SEC Commissioner Uyeda Issues Statement on Regulation NMS Amendments
SEC Commissioner Mark T. Uyeda released a statement on proposed amendments to Regulation NMS. The statement is now accessible, addressing significant changes to market structure rules.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal Government SECRegulation NMSMark T. UyedaFinancial RegulationSecuritiesAmendments