Tag: sec
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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
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SEC Director Moloney Discusses Reforms for Registered Offerings
Jim Moloney, Director of the SEC's Division of Corporation Finance, has issued a statement on improving registered offering and filer status regimes. His remarks highlight efforts to modernize the regulatory framework for public securities offerings.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegal Jim MoloneySECDivision of Corporation FinanceRegistered OfferingFiler Status RegimesSecuritiesRegulation
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SEC Commissioner Peirce Delivers Remarks at Capital Markets Summit
SEC Commissioner Hester M. Peirce addressed the U.S. Chamber of Commerce Capital Markets Summit. Her remarks, titled "Peirce Out," are now publicly accessible, offering insights into current capital market discussions.
BusinessPolitics and GovernmentUSA Hester M. PeirceSECU.S. Chamber of CommerceCapital Markets SummitCapital MarketsSpeechFinance
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SEC Establishes Joint Data Standards Under Financial Data Transparency Act
The SEC has established joint data standards under the Financial Data Transparency Act of 2022. This final rule sets technical standards for data submitted to financial regulatory agencies, involving eight additional bodies.
BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentFinancial MarketsLegalComputers and Internet Securities and Exchange CommissionSECFinancial Data Transparency Act of 2022Data StandardsFinancial Regulatory AgenciesTechnical StandardsRegulation
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SEC's Jamie Selway Addresses Harmonization in New Speech
Jamie Selway, SEC Director of Trading and Markets, delivered a speech titled "Harmonization: We’ll Have Lots to Talk About," now available online. The address highlights key discussions for the division.
Politics and GovernmentBusinessScience & TechnologyFederal GovernmentEconomyFinancial MarketsComputers and Internet Jamie SelwaySECHarmonizationDivision of Trading and MarketsSpeechFinanceRegulation
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Commissioner Peirce's Remarks to Investor Advisory Committee Now Available
SEC Commissioner Hester M. Peirce's remarks, "A Quarter for your Thoughts," delivered at the Investor Advisory Committee meeting, are now available. The speech provides insights shared with the committee, accessible via the SEC's newsroom.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsEconomyEducation Hester M. PeirceSECInvestor Advisory CommitteeSpeechesFinancial RegulationInvestmentSecurities
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SEC Chairman Paul S. Atkins to Speak at NIRI2026 Annual Conference
SEC Chairman Paul S. Atkins will participate in the NIRI2026 Annual Conference on June 8, 2026, at 10:15 AM ET, hosted by the National Investor Relations Institute.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Paul S. AtkinsSECNIRI2026 Annual ConferenceNational Investor Relations InstitutePublic AppearancesInvestor Relations
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SEC Unveils Draft Strategic Plan for Public Comment
The SEC has published a Draft Strategic Plan for public comment, aiming to refocus on its original mission of protecting investors and ensuring fair, orderly, and efficient markets, as mandated by Congress over 90 years ago.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegal Securities and Exchange CommissionSECStrategic PlanPublic CommentInvestor ProtectionFinancial RegulationUS
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SEC Appoints Four New Members to Investor Advisory Committee
The SEC has appointed four new members to its Investor Advisory Committee. Three members will serve four-year terms, with the fourth member's term details pending. This move aims to strengthen investor representation and advice on regulatory issues.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsEconomy Securities and Exchange CommissionSECInvestor Advisory Committeeappointmentsregulatory mattersinvestorsGovernment
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SEC Issues Statement on Passing of Former General Counsel David Becker
The SEC has released a statement on the passing of former General Counsel David Becker, acknowledging his service. The official Commission statement is now available for public review.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsLegalEconomy David BeckerSECGeneral CounselPassingCommission StatementGovernmentLaw
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SEC Commissioner Peirce Comments on Proposed Climate Disclosure Rule Rescission
SEC Commissioner Hester M. Peirce has released a statement concerning the proposed rescission of climate-related disclosure rules, highlighting ongoing internal discussions at the Securities and Exchange Commission regarding environmental reporting requirements.
BusinessPolitics and GovernmentEnvironmentFederal GovernmentEconomyClimate Change Securities and Exchange CommissionSECHester M. PeirceDisclosure RulesRescissionGovernment