Tag: sec
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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
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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