Tag: securities_and_exchange_commission
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SEC Commissioner Uyeda Comments on Proposed "Pay-to-Play" Rule Rescission
SEC Commissioner Mark T. Uyeda has released a statement regarding the proposed rescission of Rule 206(4)-5 under the Investment Advisers Act, known as the "pay-to-play" rule, addressing its potential implications.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegalEconomy Mark T. UyedaSecurities and Exchange CommissionInvestment Advisers ActRule 206(4)-5Pay-to-playProposed RescissionFinancial Regulation
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SEC Proposes Rescission of Investment Adviser "Pay-to-Play" Rule
The SEC has proposed rescinding its "pay-to-play" rule, which currently prohibits investment advisers from offering compensated services to government clients for two years after making political contributions. This move could reshape adviser-government interactions.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionInvestment AdvisersPay-to-Play RulePolitical ContributionsGovernment ClientsFinancial Regulation
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SEC Chairman Atkins Comments on 'Pay-to-Play' Rule Rescission Proposal
SEC Chairman Paul S. Atkins has issued a statement concerning a proposal to rescind the 'Pay-to-Play' rule. This development from the Securities and Exchange Commission highlights ongoing regulatory discussions.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy SECPaul S. AtkinsPay-to-Play RuleRescissionFinancial RegulationSecurities and Exchange CommissionGovernment
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SEC Unveils Agenda and Panelists for 24-Hour Trading Roundtable
The SEC has announced the agenda and panelists for its September 17, 2026, roundtable. The event will address preparations for 24-hour trading, gathering experts at the SEC's Washington D.C. headquarters.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange Commission24-hour tradingRoundtableWashington D.C.Market regulationInvestment
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SEC Proposes Modernizing Rules for Transfer Agents
The SEC has proposed modernizing rules for registered transfer agents. These agents are vital to the national clearance and settlement system, and the updates reflect their evolving and diverse functions.
BusinessPolitics and GovernmentLegal Securities and Exchange CommissionSECTransfer AgentsFinancial RegulationNational Clearance and Settlement SystemRule ModernizationFinancial Services
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SEC Commissioner Peirce Issues Statement on Proposed Transfer Agent Rules
SEC Commissioner Hester M. Peirce has released a statement titled 'Time to Transfer,' addressing proposed rules for transfer agents. The statement is now available on the SEC's newsroom.
BusinessPolitics and Government Securities and Exchange CommissionHester M. PeirceTransfer Agent RulesFinancial RegulationSECStatement
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SEC Commissioner Uyeda Comments on Proposed Transfer Agent Rule Amendments
Commissioner Mark T. Uyeda of the Securities and Exchange Commission has issued a statement concerning proposed amendments to the SEC’s Transfer Agent Rules. This new information, detailing potential regulatory changes, is now accessible on the SEC's official newsroom.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionSECMark T. UyedaTransfer Agent RulesRegulatory AmendmentsFinancial RegulationGovernment
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SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
The Securities and Exchange Commission and the Food and Drug Administration have signed a Memorandum of Understanding to bolster cooperation and ensure market integrity, supporting their respective missions.
BusinessPolitics and GovernmentHealthUSA Securities and Exchange CommissionFood and Drug AdministrationMemorandum of UnderstandingMarket IntegrityRegulatory CooperationGovernment
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SEC Chairman Atkins Issues Statement on 2024 Form PF Amendments Extension
SEC Chairman Paul S. Atkins has released a statement on the extension of 2024 Form PF Amendments. The new information from the Securities and Exchange Commission is now publicly available, detailing the latest updates.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentLegalEconomy Securities and Exchange CommissionSECPaul S. AtkinsForm PF AmendmentsExtensionFinancial RegulationStatements
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SEC Proposes Adding EU Debt to Exempted Obligations List
The SEC has proposed amending Rule 3a12-8 to classify European Union debt obligations as "exempted securities." This move could alter how these international financial instruments are regulated under U.S. law.
BusinessPolitics and GovernmentWorldEconomyFinancial MarketsFederal GovernmentLegalEurope Securities and Exchange CommissionEuropean UnionDebt ObligationsExempted SecuritiesFinancial RegulationRule 3a12-8US Securities Law
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SEC Commissioner Peirce Addresses Crypto Asset Regulation
SEC Commissioner Hester M. Peirce has issued a new statement, "Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release," offering insights into potential regulatory frameworks for digital assets. This contributes to the ongoing discussion on crypto regulation.
BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentEconomyComputers and InternetLegal Securities and Exchange CommissionSECHester M. PeirceCrypto AssetsRegulationDigital CurrencyFinancial Regulation
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SEC Commissioner Uyeda Issues Statement on Crypto Asset Regulation
SEC Commissioner Mark T. Uyeda has released a statement on the regulation of crypto assets. This new information from the Securities and Exchange Commission underscores the agency's continued attention to digital currency oversight and its implications for financial markets.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomyLegal SECMark T. UyedaCrypto AssetsRegulationSecurities and Exchange CommissionFinancial Services
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SEC Chairman Atkins Issues Statement on Crypto Asset Regulation
SEC Chairman Paul S. Atkins released a statement on crypto asset regulation, focusing on fit-for-purpose exemptions to support innovation in the crypto market. The statement aims to guide future regulatory approaches.
BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentFinancial MarketsLegalComputers and InternetEconomy Securities and Exchange CommissionPaul S. AtkinsCrypto AssetsRegulationMarket InnovationExemptionsFinancial Services
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SEC Begins Appointment Process for PCAOB Seat
The Securities and Exchange Commission has announced the commencement of the appointment process for a Public Company Accounting Oversight Board seat. Chairman Paul S. Atkins issued a statement regarding the open position.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEmployment and Labor Securities and Exchange CommissionPublic Company Accounting Oversight BoardPaul S. AtkinsAppointment ProcessFinancial RegulationAuditingPublic Companies
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SEC Division Updates Guidance on Shareholder Proposal Process
The SEC's Division of Corporation Finance has issued an updated statement clarifying its role in the Exchange Act Rule 14a-8 process. This new guidance aims to enhance transparency and consistency in handling shareholder proposals, providing important information for stakeholders.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionDivision of Corporation FinanceExchange Act Rule 14a-8Shareholder ProposalsCorporate GovernanceRegulatory UpdateFinancial Regulation
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SEC Cancels August 14 Open Meeting
The Securities and Exchange Commission has canceled its Open Meeting set for August 14, 2026, at 10 a.m. No reason was provided for the cancellation of the financial regulatory event.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsEconomy Securities and Exchange CommissionSECOpen MeetingCancellationFinancial RegulationBusiness NewsEvent
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SEC Commissioner Uyeda Updates on Treasury Clearing Implementation
Commissioner Mark T. Uyeda of the SEC has issued an update regarding the commission's ongoing efforts to implement treasury clearing, with a target for full implementation by August 2026.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsBankingEconomyLegal SECMark T. UyedaTreasury ClearingFinancial RegulationMarket StabilityAugust 2026Securities and Exchange Commission
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SEC Establishes New Unit to Combat Financial Reporting Fraud
The SEC has created a specialized unit within its Enforcement Division. This new unit will focus on combating accounting and financial reporting fraud, providing dedicated expertise and capacity to pursue complex cases more effectively.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionSECEnforcement DivisionFinancial ReportingAccounting FraudFraudRegulatory Enforcement
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SEC Commissioner Uyeda Addresses Regulatory Clarity with Rule 0-1(a)(7) Amendments
SEC Commissioner Mark T. Uyeda released a statement on technical amendments to Rule 0-1(a)(7), titled "Restoring Regulatory Clarity." The statement aims to enhance the precision of the regulatory framework, reflecting the SEC's ongoing efforts to refine its rules.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomyLegal Securities and Exchange CommissionSECMark T. UyedaRule 0-1(a)(7)Regulatory ClarityTechnical Amendments
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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 Report to Congress Details Small Business Capital-Raising Recommendations
The SEC released a report to Congress today, summarizing policy recommendations from its 45th Annual Government-Business Forum aimed at improving capital-raising for small businesses.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionSmall Business Capital FormationCapital-Raising PolicyCongressGovernment-Business ForumPolicy RecommendationsFinance
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SEC to Host Roundtable on 24-Hour U.S. Equity Trading
The SEC will host a roundtable on September 17 to discuss moving towards 24-hour trading in U.S. equity markets. The event will cover preparations, operations, resiliency, and the opportunities and challenges of expanded market hours.
BusinessPolitics and Government Securities and Exchange Commission24-hour tradingU.S. equity marketsRoundtableFinancial MarketsMarket OperationsResilience
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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 Peirce Discusses Small Business Capital Formation
The SEC has released remarks by Commissioner Hester M. Peirce to the Small Business Capital Formation Advisory Committee. The remarks, titled "Seeking Public Comment on Seeking Public Capital," address gathering input on improving capital access for small businesses.
Politics and GovernmentBusinessUSAFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionHester M. PeirceSmall Business Capital Formation Advisory CommitteeCapital FormationPublic CommentFinancial RegulationGovernment
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SEC Chairman Atkins' Remarks on Small Business Capital Formation Now Available
SEC Chairman Paul S. Atkins' remarks at the Small Business Capital Formation Advisory Committee Meeting are now available. His speech provides insights into the SEC's views on supporting small enterprises and their access to capital.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial Markets Paul S. AtkinsSecurities and Exchange CommissionSmall Business Capital FormationAdvisory CommitteeCapital MarketsGovernmentFinancial 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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SEC Commissioner Uyeda Issues Statement on Proposed E-Delivery Regulation
SEC Commissioner Mark T. Uyeda has released a statement on the proposed Regulation E-Delivery. The document is now publicly available, offering insights into the regulatory proposal.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaRegulation E-DeliveryFinancial RegulationGovernmentPublic Policy
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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 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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SEC Updates Municipal Advisor Registration FAQs for Clarity
The SEC's Office of Municipal Securities updated its FAQs for municipal advisor registration and recordkeeping. The revisions offer greater clarity on compliance requirements for financial professionals in the municipal market.
Politics and GovernmentBusinessFederal GovernmentEconomyLegal Securities and Exchange CommissionOffice of Municipal SecuritiesMunicipal AdvisorsRegistrationRecordkeepingFAQsFinancial Regulations