Tag: securities_and_exchange_commission
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SEC to Host Roundtable on Machine-Understandable Data in the Age of Super Intelligence
The Securities and Exchange Commission will hold a November 9, 2026 roundtable on machine-understandable data and Super Intelligence, examining related risks and costs.
BusinessScience & TechnologyPolitics and GovernmentFederal GovernmentArtificial IntelligenceFinancial MarketsComputers and Internet Securities and Exchange CommissionSuper Intelligencemachine-understandable dataroundtablefinancial regulation
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SEC Investment Management Director Brian Daly to Speak at Stanford Private Capital Roundtable
The SEC has posted remarks delivered by Brian Daly, Director of the Division of Investment Management, at the Stanford University Private Capital Roundtable.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegalEducation Securities and Exchange CommissionBrian DalyDivision of Investment ManagementStanford University Private Capital RoundtableSpeeches and StatementsPrivate Capital
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SEC Official Dave Sanchez Addresses Statewide Joint Powers Authorities and Energy Prepay Bonds
SEC Office of Municipal Securities Director Dave Sanchez has posted remarks on statewide joint powers authorities and energy prepay bonds, newly available through the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsEnergyLegal Securities and Exchange CommissionDave SanchezOffice of Municipal SecuritiesStatewide Joint Powers AuthoritiesEnergy Prepay BondsMunicipal BondsSpeeches and Statements
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SEC Suspends Trading in TJGC Group Limited
The Securities and Exchange Commission has posted a new trading suspension for TJGC Group Limited, with details available in the agency's enforcement filing.
BusinessLaw EnforcementPolitics and GovernmentFinancial MarketsLegalFederal Government TJGC Group LimitedSecurities and Exchange Commissiontrading suspensionenforcementUS financial regulation
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SEC Trading and Markets Director Jamie Selway to Speak at Security Traders Association's 93rd Annual Market Structure Conference
Jamie Selway, Director of the SEC's Division of Trading and Markets, has delivered remarks titled "How Soon is Now?" at the Security Traders Association's 93rd Annual Market Structure Conference.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionJamie SelwaySecurity Traders AssociationMarket Structure ConferenceDivision of Trading and MarketsSpeeches and Statements
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SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
The SEC's Small Business Capital Formation Advisory Committee will meet October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy around regulation crowdfunding.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeIPO modernizationregulation crowdfundingsmall business capital formation
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SEC Approves Rule Change to Permit Listing of Binary Options Overlying Key Performance Indicators
SEC Chairman Paul S. Atkins issues a statement on the Commission's approval of a proposed rule change to permit the listing of binary options overlying key performance indicators.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionPaul S. Atkinsbinary optionskey performance indicatorsrule changeSpeeches and Statements
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SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
Chairman Paul S. Atkins and Commissioner Mark T. Uyeda each issued statements on the proposed amendments to the Investment Company Act cross-trading rule, which is subject to public comment before any changes are finalized.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal SECPaul S. AtkinsInvestment Company Cross TradingProposed AmendmentsSecurities and Exchange CommissionFinancial RegulationMark T. Uyedacross-trading rulesSEC speeches and statementsInvestment Company Actcross-trading ruleregistered fundssecurities regulationmutual funds
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SEC to Host Virtual National Compliance Outreach Seminar on Nov. 19
The 2026 Compliance Outreach Program National Seminar, aimed at chief compliance officers of investment companies and investment advisers, will run from 8:30 A.M. ET.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBankingEducation Securities and Exchange CommissionCompliance Outreach ProgramInvestment AdvisersInvestment CompaniesInvestor ProtectionVirtual Seminarchief compliance officersWashington, DC
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SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The SEC has moved for a final judgment by consent against Stephen Kenneth Leech II, former co-chief investment officer of Western Asset Management Company LLC, in its cherry picking case.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionKen LeechWestern Asset Management Company LLCcherry pickingfinal judgmentinvestment adviser
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US Regulators Urge Investors to Build Resilience Against Market Swings and Fraud for World Investor Week 2026
SEC, CFTC, FINRA, NASAA, NFA and SIPC issue a joint investor bulletin for World Investor Week 2026, urging diversification, emergency savings and vigilance against relationship and impersonation scams.
BusinessLaw EnforcementUSACanadaFinancial MarketsLegalComputers and InternetSocial Issues World Investor Week 2026Securities and Exchange Commissioninvestor educationinvestment fraudrelationship investment scamsdiversificationSecurities Investor Protection Corporation
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SEC Joins Global Regulators to Issue Investor Fraud Awareness Bulletin for World Investor Week
The SEC and global financial regulators issued a joint investor bulletin for World Investor Week, urging investors to stay resilient amid changing conditions and to guard against fraud.
BusinessLaw EnforcementUSAFinancial MarketsLegalSocial Issues Securities and Exchange CommissionWorld Investor Weekinvestor bulletinfraud awarenessfinancial regulatorsinvestor protection
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SEC Chairman Atkins and Commissioner Uyeda Issue Statement on Departure of Commissioner Hester Peirce
SEC Chairman Paul S. Atkins and Commissioner Mark T. Uyeda have issued a joint statement on the departure of Commissioner Hester Peirce, posted to the agency's Speeches and Statements page.
Politics and GovernmentBusinessUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionHester PeircePaul S. AtkinsMark T. UyedaSEC CommissionerGovernment
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SEC's Peirce Calls Custody Rule Proposal a "Roller Coaster Ride"
SEC Commissioner Hester M. Peirce has issued a statement on proposed adviser and regulated fund custody rules, including crypto custody rules, titled "Roller Coaster Ride."
BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionHester M. PeirceCustody RulesCrypto CustodyRegulated FundsInvestment AdvisersSpeeches and Statements
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SEC Proposes Framework for Crypto Asset Custody by Advisers and Funds
The SEC has proposed new rules and amendments creating a tailored framework for how registered investment advisers and regulated funds may custody crypto assets under federal securities laws.
BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal GovernmentEconomy Securities and Exchange Commissioncrypto assetsinvestment advisersregulated fundscustodyfederal securities lawsbusiness development companies
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SEC Commissioner Uyeda Issues Statement on Proposed Custody Rule Amendments
SEC Commissioner Mark T. Uyeda has released a statement on proposed amendments to the custody rules, posted among the agency's speeches and statements.
BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedacustody rulesproposed amendmentsSEC CommissionerWashington, DCfinancial regulation
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SEC's Division of Examinations Announces New Exam Handbook
The SEC's Division of Examinations published a new handbook replacing its previous examination brochure, offering a practical guide on process and engagement for the firms it examines.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBanking SECDivision of ExaminationsSEC Exam HandbookSecurities and Exchange CommissionFinancial RegulationExam Handbook
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SEC Staff Issue Statement on Trump Accounts
The SEC's Divisions of Investment Management and Corporation Finance have posted a joint staff statement on Trump Accounts, newly available in the agency's Speeches and Statements section.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal SECTrump AccountsDivision of Investment ManagementDivision of Corporation FinanceSecurities and Exchange CommissionStaff Statement
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SEC Staff Issues Statement on Affiliations Between National Securities Exchanges and Broker-Dealers
The SEC's Division of Trading and Markets has published a staff statement addressing affiliations between national securities exchanges and broker-dealers, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionDivision of Trading and MarketsNational Securities ExchangesBroker-DealersStaff StatementFinancial Regulation
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SEC's Peirce Delivers 'The Other AI' Remarks on Accredited Investor Notices
SEC Commissioner Hester M. Peirce has delivered remarks titled "The Other AI" at an Open Commission Meeting on accredited investor notices under Rule 501(a)(10) of Regulation D.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceRegulation Daccredited investorRule 501(a)(10)Open Commission MeetingSpeeches and Statements
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SEC's Peirce Issues Statement on Proposals to Facilitate Retail Investor Access to Private Investments
SEC Commissioner Hester M. Peirce has released a statement titled "Performance Interval" addressing proposals aimed at facilitating retail investor access to private investments.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionHester M. Peirceretail investor accessprivate investmentsPerformance IntervalSEC speeches and statementsfinancial regulation
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SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The SEC has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel over an alleged fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond.
Law EnforcementBusinessUSALegalFinancial MarketsMilitary SECChristopher Kenji DinelliJacob David Frankelfraud schemeveteransBeyond fundSecurities and Exchange Commission
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SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The SEC voted to propose rule amendments aimed at facilitating capital formation in public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionSEC rule amendmentscapital formationretail investorsprivate marketsregulated fund structuresretailization
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SEC Chairman Atkins Statement at Open Meeting on Expanding Responsible Retailization of Private Markets
SEC Chairman Paul S. Atkins issued a statement at an open meeting on proposals to expand responsible retailization of private markets, the agency announced.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionPaul S. Atkinsprivate marketsretailizationopen meetingSpeeches and Statements
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SEC Charges Entities in $15 Million Investment Confidence Scams Run via WhatsApp
The SEC charged multiple entities, likely run by individuals overseas, over investment confidence scams that defrauded hundreds of retail investors, including many in the U.S., of at least $15 million.
BusinessLaw EnforcementUSAFinancial MarketsLegalComputers and Internet SECSecurities and Exchange Commissioninvestment confidence scamsWhatsAppfraud schemesretail investorsSecurities fraud
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SEC Charges Investment Adviser Zoe Financial Over Undisclosed Conflicts of Interest
The SEC announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts about conflicts of interest to clients and prospective clients.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionZoe Financial Inc.investment adviserconflict of interestsettled chargesNew Yorkdisclosure
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SEC Officials Issue Statement on Fair Value Measurement for Private Assets
SEC Chief Accountant Kurt Hohl and Investment Management Director Brian Daly released a statement on fair value measurement and disclosure considerations for private assets.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsBankingLegal Securities and Exchange CommissionKurt HohlBrian Dalyfair value measurementprivate assetsDivision of Investment Managementfinancial disclosure
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SEC Commissioner Peirce to Address SIFMA Digital Assets Conference
SEC Commissioner Hester M. Peirce has posted remarks titled "Looking for Change in Haystacks," delivered before SIFMA's Digital Assets Conference, the agency announced.
BusinessPolitics and GovernmentScience & TechnologyUSAFederal GovernmentFinancial MarketsLegalComputers and Internet Securities and Exchange CommissionHester M. PeirceSIFMADigital Assets ConferenceSpeeches and StatementsDigital Assets
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SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
SEC's Division of Economic and Risk Analysis releases updated capital markets statistics and data visualizations, showing a notable rise in initial public offerings and proceeds raised.
BusinessPolitics and GovernmentUSAFinancial MarketsEconomyFederal GovernmentLegal Securities and Exchange CommissionDivision of Economic and Risk AnalysisInitial Public OfferingsU.S. capital marketsMarket statisticsProceeds raised
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SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
SEC charges CMI Capital LLC and founder Michael D. Williams over an alleged fraudulent investment scheme that raised about $860,000 from at least 18 investors, many of them current or former law enforcement.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionCMI Capital LLCMichael D. WilliamsSouth Floridainvestment schemesecurities fraud