Tag: sec
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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
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SEC Chairman Atkins' 2026 Economic Forum Remarks Released
SEC Chairman Paul S. Atkins' keynote remarks for the 2026 Reagan National Economic Forum are now available. The speech provides insights into topics relevant to the upcoming economic discussion, released by the Securities and Exchange Commission.
BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial Markets Paul S. AtkinsSECReagan National Economic ForumKeynote RemarksFinancial RegulationGovernmentSpeeches
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SEC Chairman Proposes Rescission of Climate Disclosure Rules
SEC Chairman Paul S. Atkins has released a statement proposing the rescission of climate-related disclosure rules. This move by the Securities and Exchange Commission suggests a significant change in environmental reporting requirements for companies, signaling a potential withdrawal of current…
Politics and GovernmentBusinessScience & TechnologyUSA SECPaul S. AtkinsClimate-Related Disclosure RulesRescissionSecurities and Exchange CommissionEnvironmental ReportingRegulations
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SEC Proposes Rescission of Climate Disclosure Rules
The SEC proposes rescinding climate-related disclosure rules for companies, citing them as "overly burdensome and costly." This move would remove requirements for businesses to report specific climate information in their financial filings.
BusinessPolitics and GovernmentEconomyFederal GovernmentEnvironmentLegal SECClimate DisclosureRegulatory BurdenFinancial ReportingRescissionCorporate Governance
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SEC Commissioner Peirce Addresses Crypto, Privacy, and Financial Regulation
SEC Commissioner Hester M. Peirce delivered remarks on cryptographic technologies, financial services regulation, and privacy at the Regulatory PETshop Series, offering insights into these evolving issues.
BusinessScience & TechnologyPolitics and GovernmentEconomyFinancial MarketsComputers and InternetFederal GovernmentLegal Hester M. PeirceSECCryptographic TechnologiesFinancial Services RegulationPrivacyRegulatory PETshop SeriesSpeeches and Statements
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SEC Releases "CAT on a Hot Tin Roof" Speech by Jamie Selway
The SEC has released a new speech, "CAT on a Hot Tin Roof," by Jamie Selway, Director of the Division of Trading and Markets. The remarks are now available on the SEC's newsroom, offering insights from the division.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Securities and Exchange CommissionSECJamie SelwayDivision of Trading and MarketsCAT on a Hot Tin RoofSpeechFinancial Regulation
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Media Monitor: Wall Street Journal Editorial Board Criticizes Trump's Governing, Highlights Key Policy Debates
The Wall Street Journal Editorial Board criticizes President Trump's governing approach and discusses a USDA discrimination settlement, Britain's tax policies, and the SEC's gag rule, among other topics.
Politics and GovernmentBusinessMediaWorldGeneral PoliticsEconomyFinancial MarketsElectionMiddle East Donald TrumpU.S. PresidencyUSDABritainSECMitch McConnellIranWall Street Journal Editorial Board
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SEC Chairman Atkins to Speak at Stanford Rock Center Event
SEC Chairman Paul S. Atkins will speak at the Stanford Rock Center for Corporate Governance on May 26. He will deliver opening remarks and engage in a fireside chat, with a livestream available for public access.
Politics and GovernmentBusinessFederal GovernmentEconomyLegalEducation Paul S. AtkinsSECStanford Rock Center for Corporate GovernanceCorporate GovernancePublic AppearancesFireside ChatLivestream
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SEC Officials to Speak at U.S. Chamber Capital Markets Summit
SEC Commissioner Hester M. Peirce and Division Director Jim Moloney will participate in the U.S. Chamber of Commerce's Capital Markets Summit on June 9, discussing the role of financial markets.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal Government SECHester M. PeirceJim MoloneyU.S. Chamber of CommerceCapital Markets SummitGovernment
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SEC Chairman Atkins to Deliver Keynote at 2026 Reagan Economic Forum
SEC Chairman Paul S. Atkins will deliver a keynote address at the 2026 Reagan National Economic Forum on May 29, 2026, at 11 AM ET, discussing economic matters and the Commission's role.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial Markets Paul S. AtkinsSECReagan National Economic ForumKeynote AddressEconomicsGovernmentFinancial Services
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Media Monitor: SpaceX Discloses Significant Losses Ahead of IPO
The Washington Post reports Elon Musk's rocket company, SpaceX, has recorded $13 billion in losses since 2023, revealed in a recent SEC filing ahead of its stock market debut.
BusinessScience & TechnologyEconomyFinancial MarketsFederal GovernmentAstronomy and Space SpaceXElon MuskIPOFinancial LossesSECStock MarketThe Washington Post
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SEC Chairman Atkins Proposes Reforms for Emerging Growth Companies and Filer Status
SEC Chairman Paul S. Atkins announced new proposals to enhance Emerging Growth Company accommodations, simplify reporting company filer status, and reform registered offerings, aiming to streamline financial market regulations.
BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial MarketsLegal Paul S. AtkinsSECEmerging Growth CompanyFiler StatusRegistered Offering ReformFinancial RegulationSecurities
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SEC Proposes Reforms to Streamline Public Company Offerings and Reporting
The SEC proposes reforms to registered offerings, aiming for greater efficiency and cost savings for public companies. The amendments also seek to simplify reporting requirements while maintaining strong investor protections.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomyLegal SECRegistered OfferingsPublic CompaniesRegulatory ReformInvestor ProtectionReporting RequirementsFinance
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SEC Commissioner Peirce Issues Statement on Settlements and Enforcement Actions
SEC Commissioner Hester M. Peirce has released a new statement, "Somewhere Between Cacophony and Euphony," discussing settlements and enforcement actions. This new insight into the Commission's regulatory approach is now available on the SEC's newsroom.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegal Hester M. PeirceSECSecurities and Exchange CommissionSettlementsEnforcement ActionsRegulatorySpeeches and Statements
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SEC Rescinds Policy on Enforcement Action Settlements
The Securities and Exchange Commission has rescinded a policy, Rule 202.5(e), which governed the denial of settlements in enforcement actions where sanctions were imposed. This move alters the SEC's approach to resolving such cases.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentLegalFinancial Markets Securities and Exchange CommissionSECEnforcement ActionsSettlementsPolicy ChangeRule 202.5(e)Government
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SEC Enforcement Director Woodcock Addresses MFA Legal & Compliance Conference
SEC Enforcement Director David Woodcock spoke at the MFA Legal & Compliance 2026 Conference, discussing key legal and compliance issues. His remarks are now available, offering insights into the SEC's regulatory expectations for the financial industry.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal David WoodcockSECEnforcementMFA ConferenceLegal ComplianceFinancial RegulationSpeeches
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SEC Chairman Paul S. Atkins to Speak at 2026 FINRA Annual Conference
SEC Chairman Paul S. Atkins is set to speak at the upcoming 2026 FINRA Annual Conference on May 12. He will participate in a key discussion focusing on the regulatory relationship between the SEC and FINRA.
HealthMedical Record Paul S. AtkinsSECFINRABusiness and FinanceFinancial RegulationGovernment