Tag: securities_and_exchange_commission
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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
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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 Committee to Discuss Modernizing Public Market Access
The SEC's Small Business Capital Formation Advisory Committee will meet on July 21, 2026, to discuss modernizing public market access and encouraging initial public offerings, aiming to enhance capital raising for small businesses.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomyGeneral Politics Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteePublic Market AccessIPOsSmall BusinessCapital FormationFinancial Services
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SEC Establishes New Retail Fraud Working Group
The SEC has formed a new Retail Fraud Working Group to bolster the Division of Enforcement's efforts. This group will focus on identifying and combating fraud specifically targeting everyday investors, enhancing protection in financial markets.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal Securities and Exchange CommissionRetail Fraud Working GroupFraudInvestorsEnforcementFinancial CrimeGovernment
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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 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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SEC and CFTC Seek Public Comment on Portfolio Margining Harmonization
The SEC and CFTC are seeking public comment on harmonizing portfolio margining frameworks. This joint initiative aims to streamline regulatory approaches for calculating margin across diverse securities, fostering a more consistent financial environment.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentLegalEconomy Securities and Exchange CommissionCommodity Futures Trading CommissionPortfolio MarginingRegulatory FrameworksPublic CommentHarmonizationFinancial Regulation
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SEC Appoints John Moses as Director of Investor Education Office
The Securities and Exchange Commission has named John Moses as the new Director of its Office of Investor Education and Assistance. This office is crucial for providing resources to help investors secure their financial futures and protect against risks.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomyEducation John MosesSecurities and Exchange CommissionInvestor EducationFinancial LiteracyInvestment ProtectionAppointmentsFinancial Services
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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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Media Monitor: Trump Nominates Jay Clayton as DNI
USA TODAY reports President Trump has nominated Jay Clayton, former SEC chair and current Justice Department official, as Director of National Intelligence amid unspecified backlash.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsWhite HouseLegal Donald J TrumpJay ClaytonDirector of National IntelligenceSecurities and Exchange CommissionJustice DepartmentSouthern District of New YorkPulteUSA TODAY
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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 Commissioner Peirce Comments on Proposed Disorder Protection Rule Amendments
SEC Commissioner Hester M. Peirce has released a statement concerning proposed amendments to Rule 611 and other Regulation NMS provisions, focusing on the "Disorder Protection Rule" to enhance market stability.
Politics and GovernmentBusinessMediaFederal GovernmentFinancial MarketsEconomyLegal Securities and Exchange CommissionHester M. PeirceRegulation NMSRule 611Disorder Protection RuleFinancial RegulationMarket Stability
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SEC Proposes Rescission of Key Regulation NMS Rules
The SEC proposes rescinding Regulation NMS Rules 611 and 610(e), citing "unintended consequences" after two decades. This aims to reevaluate the rules' effectiveness and impact on market operations.
BusinessPolitics and GovernmentUSA Securities and Exchange CommissionRegulation NMSRule 611Rule 610(e)RescissionFinancial RegulationMarket System
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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 Releases Chairman Atkins' Investor Advisory Committee Remarks
SEC Chairman Paul S. Atkins' remarks from an April 26, 2006, Investor Advisory Committee Meeting have been released, offering public insight into past discussions.
BusinessPolitics and GovernmentFederal GovernmentFinancial Markets Securities and Exchange CommissionPaul S. AtkinsInvestor Advisory CommitteeRemarksFinancial RegulationInvestmentGovernment
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SEC Appoints Five New Members to Small Business Advisory Committee
The SEC has appointed five new members to its Small Business Capital Formation Advisory Committee. These individuals will serve four-year terms, joining 15 current members to advise on issues affecting small businesses and capital formation.
BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial Markets Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeAppointmentsSmall BusinessCapital FormationGovernmentFinance
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SEC Publishes Commissioner Uyeda's Investor Advisory Committee Remarks
The SEC has made Commissioner Mark T. Uyeda's remarks from the Investor Advisory Committee Meeting publicly available. The speech offers insights into the commission's work.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Securities and Exchange CommissionMark T. UyedaInvestor Advisory CommitteeSpeechesFinancial RegulationGovernmentPublic Information
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SEC Commissioner Peirce's Blockchain Remarks Now Available
SEC Commissioner Hester Peirce's speech, "Base Case," delivered at the IC3 Blockchain Camp, is now available. The remarks offer insights into blockchain technology from the Commissioner.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomyComputers and Internet Hester PeirceSecurities and Exchange CommissionBlockchainIC3 Blockchain CampFinancial RegulationTechnologySpeeches
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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 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 Commissioner Uyeda Issues Statement on Climate Disclosure Rules
SEC Commissioner Mark T. Uyeda has released a statement regarding the rescission of climate-related disclosure rules. The full statement is now publicly available, as announced by the Securities and Exchange Commission.
Politics and GovernmentBusinessFederal GovernmentEconomyEnvironmentLegal Mark T. UyedaSecurities and Exchange CommissionClimate-Related Disclosure RulesRescissionStatementFinancial RegulationGovernment
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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 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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SEC Investor Advisory Committee to Meet on June 4
The SEC Investor Advisory Committee will hold a public meeting on June 4 in Washington D.C. to discuss private markets, passive index funds, and fund recommendations, offering public insight into key financial topics.
BusinessPolitics and GovernmentUSA Securities and Exchange CommissionInvestor Advisory CommitteePublic MeetingWashington D.C.Private MarketsPassive Index FundsFinancial Regulation
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SEC Chairman Atkins' Corporate Governance Remarks Now Available
Securities and Exchange Commission Chairman Paul S. Atkins delivered remarks at the Stanford Rock Center for Corporate Governance. The full text of his speech is now publicly accessible.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Paul S. AtkinsSecurities and Exchange CommissionStanford Rock Center for Corporate GovernanceCorporate GovernanceRemarksSpeeches
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SEC and NFA Sign MOU to Boost Regulatory Coordination
The SEC and NFA have signed a Memorandum of Understanding to enhance cooperation, coordination, and information sharing. This agreement aims to harmonize regulatory efforts and improve oversight in areas of common interest, benefiting market participants.
BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionNational Futures AssociationMemorandum of UnderstandingRegulatory CoordinationInformation SharingFinancial Regulation
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SEC Chairman Atkins Issues Statement on Novel ETFs
SEC Chairman Paul S. Atkins has released a statement regarding novel Exchange-Traded Funds. The new information is now available, reflecting the Commission's focus on evolving financial market instruments.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionPaul S. AtkinsExchange-Traded FundsRegulationFinanceGovernment